MM
Morris L. Monroe
AVIOR WEALTH MANAGEMENT
THE WOODLANDS, TX 77380
Some features on this profile are disabled
CRD#: 1227631
MM
Professional summary
Morris Lynn Monroe, AIF® is a registered financial advisor currently at AVIOR WEALTH MANAGEMENT, LLC located in The Woodlands, Texas and MOMENTUM INDEPENDENT NETWORK INC. located in The Woodlands, Texas.
Morris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Morris has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 2, Series 14, Series 53, Series 28 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. WOODLANDS FINANCIAL SRVS-DIRECTOR, INVESTMT RELATED, AUTO REC'S, 25211 GROGANS MILL RD #300, WOODLANDS TX, STRT DATE: 6/1993, HRS/MO:5 DUR TRADING HRS, DUTIES: CONSULTING, DIR RELATED ACT. TIMBERLOCH CAPITAL LLC-INVESTMT RELATED-CO MEMBER-STRT DATE:4/09, HRS/MO: 0 DUR TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Morris Lynn Monroe's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
October 4, 2022 - Present
AVIOR WEALTH MANAGEMENT, LLC
Office #1: 10655 Six Pines Drive Suite 100, The Woodlands, TX 77380RIA
CRD#: 148674
THE WOODLANDS, TX
Current
January 6, 2025 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 10655 Six Pines Drive Suite 100, The Woodlands, TX 77380RIA
BD
CRD#: 17587
The Woodlands, TX
Past
July 22, 1988 - December 31, 2024
NAVIGATOR SECURITIES LIMITED
BD
CRD#: 22373
HOUSTON, TX
Past
June 1, 1988 - October 5, 2022
WOODLANDS ASSET MANAGEMENT INC
RIA
CRD#: 108122
THE WOODLANDS, TX
Past
August 4, 1986 - December 5, 1988
HYDE PARK FINANCIAL, INC.
BD
CRD#: 18035
Past
October 3, 1984 - June 17, 1986
FIRST SECURITIES CORPORATION OF THE SOUTHWEST
BD
CRD#: 10511
Past
December 9, 1983 - August 30, 1984
HPI CORPORATION
BD
CRD#: 14273
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AW
AVIOR WEALTH MANAGEMENT, LLC
AGATE ASSET MANAGEMENT, LLC | VERDANT WEALTH MANAGEMENT | VERDANT GROUP, LLC | SC FINANCIAL SERVICES | NELSON, VAN DENBURG & CAMPBELL WEALTH MANAGEMENT GROUP, LLC | NELSON - VAN DENBURG & ASSOCIATES, LLC | NELSON - VAN DENBURG & ASSOCIATES | LIFESTAGE WEALTH MANAGEMENT | CORPUS CAPITAL MANAGEMENT | AVIOR WEALTH MANAGEMENT, LLC
CRD#: 148674 / SEC#: 801-69773
RIA
Registered Investment Advisory firm - (12/4/2008 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/6/2025)
RR
Colorado(1/6/2025)
RR
Georgia(1/6/2025)
RR
Hawaii(1/6/2025)
RR
Louisiana(1/6/2025)
RR
New York(1/6/2025)
IAR
Texas(10/4/2022)
RR
Texas(1/6/2025)
RR
Virginia(1/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 1/12/1982
Non-Member General Securities ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 7/1/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
AVIOR WEALTH MANAGEMENT, LLC
AGATE ASSET MANAGEMENT, LLC | VERDANT WEALTH MANAGEMENT | VERDANT GROUP, LLC | SC FINANCIAL SERVICES | NELSON, VAN DENBURG & CAMPBELL WEALTH MANAGEMENT GROUP, LLC | NELSON - VAN DENBURG & ASSOCIATES, LLC | NELSON - VAN DENBURG & ASSOCIATES | LIFESTAGE WEALTH MANAGEMENT | CORPUS CAPITAL MANAGEMENT | AVIOR WEALTH MANAGEMENT, LLC
CRD#: 148674 / SEC#: 801-69773
RIA
Registered Investment Advisory firm - (12/4/2008 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
14301 First National Bank Parkway Suite 410, Omaha, NE 68154
Mailing Address
Phone number
(402) 218-4064
Established
Firm type
Fiscal year end
# of Employees
201
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,385 |
| AUM (Assets Under Management) | $ 5,083,670,234 |
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.
Company Information
AVIOR WEALTH MANAGEMENT, LLC
CRD#: 148674The Woodlands, TX 77380TRUST BUT VERIFY
Monitor Morris Monroe
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
