Joseph B. 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.
Joseph Brian Morrison, who also goes by Brian Morrison, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, Series 7TO, Series 99TO, Series 79TO, SIE, Series 79, Series 7, Series 3, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2021 - July 27, 2022
LEK SECURITIES CORPORATION
January 3, 2014 - February 6, 2019
REALIZED FINANCIAL, INC.
December 23, 2013 - February 6, 2019
REALIZED FINANCIAL, INC.
December 17, 2009 - December 21, 2012
KESTRA INVESTMENT SERVICES, LLC
March 15, 2007 - December 8, 2009
KESTRA INVESTMENT SERVICES, LLC
November 2, 2005 - December 21, 2012
KESTRA INVESTMENT SERVICES, LLC
July 27, 2000 - September 25, 2000
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
May 27, 1998 - July 24, 2000
BOK FINANCIAL SECURITIES, INC.
January 31, 1986 - August 8, 1997
STEPHENS
December 21, 1983 - January 30, 1986
BRITTENUM & ASSOCIATES, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
LEK SECURITIES CORPORATION
CRD#: 33135 / SEC#: , 8-42152
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 42 |
| Civil Event | 1 |
| Arbitration | 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.
