Charles K. Morris
Professional summary
Charles Kerry Morris was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Charles had worked at 6 firms, which includes NW CAPITAL MARKETS INC., RED-HORSE SECURITIES LLC, RBC CAPITAL MARKETS LLC, TUCKER ANTHONY INCORPORATED, GIBRALTAR SECURITIES CO., RYAN BECK & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2004 - March 14, 2018
NW CAPITAL MARKETS INC.
June 16, 2003 - February 17, 2004
RED-HORSE SECURITIES, LLC
January 2, 2002 - April 24, 2003
RBC CAPITAL MARKETS, LLC
September 1, 1999 - January 15, 2002
TUCKER ANTHONY INCORPORATED
February 21, 1991 - September 1, 1999
GIBRALTAR SECURITIES CO.
August 24, 1982 - February 8, 1991
RYAN BECK & CO.
State Registrations and Notice Filings
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Exams
Current Firm
NW CAPITAL MARKETS INC.
CRD#: 17622 / SEC#: , 8-35363
Contact information
FINRA licenses (12 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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