Roger Howard Morris
Professional Summary
Roger Howard Morris is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Prescott, Arizona and NYLIFE SECURITIES LLC located in Prescott, Arizona. Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Roger has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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THRIVENT INVESTMENT MANAGEMENT INC.
Videos & Posts
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Contact Information
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THRIVENT INVESTMENT MANAGEMENT INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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THRIVENT INVESTMENT MANAGEMENT INC.
Years of Experience
43 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
Contact Information
Main Address
51 Madison Avenue 12th Floor, New York, NY 10010Mailing Address
51 Madison Avenue Floor 3b, Room 0304, New York, NY 10010Phone Number
(888) 695-3245# of Employees
3,190SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
133,900AUM (Assets Under Management)
$32,040,850,438Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/27/2026 | Cover Page | Report |
| 01/24/2025 | Cover Page | Report |
| 04/25/2024 | Cover Page | Report |
| 12/20/2023 | Cover Page | Report |
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THRIVENT INVESTMENT MANAGEMENT INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
State Registrations and Notice Filings
(9/3/2013)
(9/7/2021)
(7/16/1984)
(2/23/2000)
(12/18/2015)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Aug 1984About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1983About the Series 6 examSRO Registrations
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THRIVENT INVESTMENT MANAGEMENT INC.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Howard Morris's CRS (Customer Relationship Summary).
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THRIVENT INVESTMENT MANAGEMENT INC.