Morris L. Ritter
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.
Morris Lee Ritter, who also goes by Morris L Ritter, was a registered financial professional .
Morris is a previously registered financial professional and started their career in finance in 1983. Morris had worked at 5 firms and has passed the Series 63, Series 22 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
July 6, 1989 - November 10, 1997
INVESTORS SECURITY COMPANY, INC.
September 6, 1988 - July 18, 1989
FSC SECURITIES CORPORATION
October 1, 1987 - September 22, 1988
HERITAGE EQUITY PLANNING CORPORATION
December 17, 1985 - October 6, 1987
GREEN HILL FINANCIAL SERVICE CORPORATION
May 23, 1983 - December 18, 1985
G. R. PHELPS & CO., INC.
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
INVESTORS SECURITY COMPANY, INC.
CRD#: 2331 / SEC#: 801-57968, 8-12111
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLOWAY, CHRISTOPHER MATTHEW | PRESIDENT/CHIEF COMPLIANCE OFFICER | 3124769 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
| Bond | 1 |
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.
