Jimmy L. 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.
Jimmy Lamar Morrison was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 1983. Jimmy had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, 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
January 1, 2008 - October 2, 2017
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - October 2, 2017
WELLS FARGO CLEARING SERVICES, LLC
May 4, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
May 4, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
February 21, 2006 - May 11, 2007
CITIGROUP GLOBAL MARKETS INC.
November 17, 2000 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
February 14, 2000 - November 20, 2000
AMSOUTH INVESTMENT SERVICES, INC.
July 2, 1998 - February 14, 2000
INVEST FINANCIAL CORPORATION
August 4, 1993 - July 8, 1998
DEPOSIT GUARANTY INVESTMENTS, INC.
December 8, 1992 - August 26, 1993
G. R. PHELPS & CO., INC.
February 3, 1992 - December 7, 1992
WALNUT STREET SECURITIES, INC.
June 5, 1990 - February 3, 1992
WS GRIFFITH SECURITIES, INC.
June 5, 1990 - February 3, 1992
HOME LIFE INSURANCE COMPANY
October 11, 1989 - June 6, 1990
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 31, 1989 - October 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 21, 1983 - April 3, 1989
WS GRIFFITH SECURITIES, INC.
May 16, 1983 - October 21, 1983
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
