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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

JORGE ARMANDO MORALES

Advisor at LPL FINANCIAL LLC

SOLVANG, CA | SANTA BARBARA, CA | GOLETA, CA | WESTLAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:9d05cf1a-fb02-663b-e722-eca3d20ea92b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 11, 2002 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: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 6, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Apr 6, 2002
First registration: Sep 11, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4485239

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
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 26, 2012	n/a	yes	SOLVANG, CA\|GOLETA, CA\|GOLETA, CA\|SANTA BARBARA, CA\|SANTA BARBARA, CA\|SANTA BARBARA, CA\|WESTLAKE VILLAGE, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Oct 23, 2012	no	SAN LUIS OBISPO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Nov 4, 2009	Jan 3, 2011	no	SANTA BARBARA, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Mar 23, 2006	Nov 5, 2009	no	BAKERSFIELD, CA\|BAKERSFIELD, CA\|BAKERSFIELD, CA\|BAKERSFIELD, CA\|BAKERSFIELD, CA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Sep 11, 2002	Jul 1, 2003	no	BAKERSFIELD, CA	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
WELLS FARGO ADVISORS	LPL FINANCIAL LLC	Oct 23, 2012	Oct 26, 2012	3	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
CUSO FINANCIAL SERVICES, L.P.	WELLS FARGO INVESTMENTS, LLC	Nov 5, 2009	Nov 4, 2009	-1	Firm change	Other
A. G. EDWARDS & SONS, INC.	CUSO FINANCIAL SERVICES, L.P.	Jul 1, 2003	Mar 23, 2006	996	Firm change after gap	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 26, 2012 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Oct 23, 2012factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Nov 4, 2009 to Jan 3, 2011factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Mar 23, 2006 to Nov 5, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Sep 11, 2002 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.