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MM

Michelle A. Morton

Some features on this profile are disabled
CRD#: 1123062
MM

Professional summary

Michelle Ann Morton was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michelle is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Michelle had worked at 7 firms, which includes PACIFIC AMERICAN SECURITIES LLC, BAY WILLOW ADVISERS LLC, LPL FINANCIAL LLC, U.S. BANCORP ADVISORS LLC, FLEET ENTERPRISES INC., PARR SECURITIES CORP., KORMENDI BYRD BROTHERS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michelle A. Morton | Michelle Anne Morton | Michelle Morton Schoeffel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 15, 2011 - December 31, 2011

PACIFIC AMERICAN SECURITIES, LLC

RIA
CRD#: 42999
SAN DIEGO, CA
Past

September 23, 2008 - November 10, 2009

BAY WILLOW ADVISERS, LLC

RIA
CRD#: 148100
SAN DIEGO, CA
Past

October 10, 2006 - July 6, 2007

PACIFIC AMERICAN SECURITIES, LLC

RIA
CRD#: 42999
SAN DIEGO, CA
Past

January 12, 1998 - July 20, 2012

PACIFIC AMERICAN SECURITIES, LLC

BD
CRD#: 42999
SAN DIEGO, CA
Past

December 21, 1993 - November 16, 1994

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

March 10, 1989 - December 14, 1993

U.S. BANCORP ADVISORS, LLC

BD
CRD#: 14455
GLENDALE, CA
Past

July 1, 1986 - October 19, 1987

FLEET ENTERPRISES, INC.

BD
CRD#: 17434
Past

March 15, 1984 - February 6, 1985

PARR SECURITIES CORP.

BD
CRD#: 10234
Past

May 25, 1983 - October 18, 1983

KORMENDI, BYRD BROTHERS, INC.

BD
CRD#: 2470

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 7/27/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 10/15/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/26/1998
General Securities Principal Examination

Current Firm

PA
PACIFIC AMERICAN SECURITIES, LLC
PACIFIC AMERICAN SECURITIES, LLC

CRD#: 42999 / SEC#: , 8-50093

BD
Cancelled by SEC on 05/01/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/18/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PACIFIC AMERICAN SERVICES GROUP, LLCOWNER
GIBBS, CONSTANCE LEEMANAGING DIRECTOR/ CFO, FINOP, CHIEF COMPLIANCE OFFICER1387645
MORTON, MICHELLE A.CEO/CHAIRWOMAN/PRESIDENT1123062

Disclosures

Regulatory Event4
Arbitration1

Red Flags

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Company Information

PACIFIC AMERICAN SECURITIES, LLC

CRD#: 42999

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