William C. Morrison
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.
William Charles Morrison, who also goes by Bill Morrison, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2016 - May 23, 2026
LPL FINANCIAL LLC
November 16, 2016 - May 23, 2026
LPL FINANCIAL LLC
October 23, 2009 - November 21, 2016
VOYA FINANCIAL ADVISORS, INC.
October 20, 2009 - November 21, 2016
VOYA FINANCIAL ADVISORS, INC.
September 9, 2003 - October 23, 2009
SECURIAN FINANCIAL SERVICES, INC.
September 9, 2003 - October 23, 2009
SECURIAN FINANCIAL SERVICES, INC.
June 23, 2000 - August 19, 2003
WS GRIFFITH SECURITIES, INC.
May 26, 2000 - August 19, 2003
WS GRIFFITH SECURITIES, INC.
December 8, 1998 - May 30, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 1, 1996 - December 11, 1998
BMA FINANCIAL SERVICES, INC.
August 3, 1993 - December 6, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
May 3, 1993 - July 28, 1993
CRESTAR SECURITIES CORPORATION
October 28, 1991 - April 17, 1993
INDEPENDENT FINANCIAL SECURITIES, INC.
May 11, 1990 - November 6, 1991
WALNUT STREET SECURITIES, INC.
March 20, 1986 - March 13, 1987
WALNUT STREET SECURITIES, INC.
March 19, 1985 - April 17, 1985
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
