George C. Morris
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
George Cooper Morris III, who also goes by George Cooper Morris, George Cooper III Morris, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1982. George had worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2020 - September 16, 2024
PARKMAN WHALING SECURITIES LLC
January 7, 2019 - January 2, 2020
SP SECURITIES LLC
July 11, 2011 - August 20, 2015
BMI CAPITAL INTERNATIONAL LLC
December 12, 2006 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 14, 2003 - May 10, 2007
ML PETRIE PARKMAN CO., INC.
February 26, 1997 - July 23, 2002
SIMMONS & COMPANY INTERNATIONAL
August 30, 1993 - May 28, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 21, 1982 - March 18, 1993
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PARKMAN WHALING SECURITIES LLC
CRD#: 145342 / SEC#: , 8-67723
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMPBELL, BRUCE EMERSON III | CHIEF COMPLIANCE OFFICER | 5459992 |
Red Flags
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