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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

CARLOS ARTURO MORALES

Advisor at INSIGNEO ADVISORY SERVICES, LLC

SAN PEDRO GARZA GARCIA, NUEVO LEON | MIAMI, FL

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Search this name across graphsid dfx:ria:053eb59f-ffe3-e908-2b76-27e94180827a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 20, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INSIGNEO ADVISORY SERVICES, LLC
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 20, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Exams: S66
First exam: Jun 11, 2014
First registration: Jul 20, 2006
Dual registered: yes, broker-dealer
Other names: CARLOS MORALES
IAPD individual key: 5086692

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INSIGNEO ADVISORY SERVICES, LLC	Mixed wealth	Jun 15, 2026	n/a	yes	SAN PEDRO GARZA GARCIA, NUEVO LEON\|MIAMI, FL	Current employment
VECTORGLOBAL IAG, INC.	Former SEC adviser	Jul 18, 2017	Jun 2, 2026	no	MIAMI, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 14, 2014	May 5, 2017	no	CORAL GABLES, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 20, 2006	Jun 1, 2011	no	MIAMI, FL\|JACKSONVILLE, FL\|NEW YORK, NY\|JACKSONVILLE, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VECTORGLOBAL IAG, INC.	INSIGNEO ADVISORY SERVICES, LLC	Jun 2, 2026	Jun 15, 2026	13	Bulk transfer	RIA to RIA
UBS FINANCIAL SERVICES INC.	VECTORGLOBAL IAG, INC.	May 5, 2017	Jul 18, 2017	74	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Jun 1, 2011	Jul 14, 2014	1,139	Firm change after gap	Wirehouse to wirehouse

Relationships

Registered with (4)

→ INSIGNEO ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Jun 15, 2026 to presentfactForm ADV
→ VECTORGLOBAL IAG, INC.Registered adviserregistration: previous registration
Jul 18, 2017 to Jun 2, 2026factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 14, 2014 to May 5, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 20, 2006 to Jun 1, 2011factForm ADV

Dated events

No dated event names this entity yet.