Thomas J. Morrison

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CRD#: 1276798

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.

Thomas James Morrison, AIF®, CIMA® was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

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®

AIF^®

Accredited Investment Fiduciary

CIMA^®

Certified Investment Management Analyst

Experience

Past

August 19, 2016 - May 8, 2025

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

Greenwood Village, CO

Past

November 20, 2000 - July 25, 2016

FRED ALGER & COMPANY, LLC

CRD#: 5300

JERSEY CITY, NJ

Past

April 6, 1999 - September 12, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 11, 1993 - July 21, 1997

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

November 6, 1989 - June 17, 1992

PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554

CHICAGO, IL

Past

November 17, 1988 - June 13, 1989

ALPINE BROKER SERVICES CORP.

CRD#: 17941

Past

September 30, 1987 - October 20, 1988

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

June 13, 1986 - September 30, 1987

IRONWOOD SECURITIES, INC.

CRD#: 13543

Past

March 14, 1986 - July 8, 1986

INVESTACORP, INC.

CRD#: 7684

Past

August 22, 1984 - September 6, 1985

THE ADVISORS GROUP, INC.

CRD#: 14035

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

IAR

Series 65

Date: 9/14/1990

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/26/2007

General Securities Principal Examination

Current Firm

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059 / SEC#: , 8-47577

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144

Mailing Address

4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144

Phone number

(216) 898-2400

Established

Delaware since 06/03/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VICTORY CAPITAL OPERATING, LLC	SOLE SHAREHOLDER
INKS, DONALD ANTHONY	CHIEF OPERATIONS OFFICER	2311245
MATHES, CHARLES B	CHIEF COMPLIANCE OFFICER	5980160
POLICARPO, MICHAEL DENNIS II	PRESIDENT	4316912
PONTE, CHRISTOPHER ANTONI	CFO/FINOP	5968469

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Thomas J. Morrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FRED ALGER & COMPANY, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLES SCHWAB & CO., INC.

PORTFOLIO BROKERAGE SERVICES, INC.

ALPINE BROKER SERVICES CORP.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

IRONWOOD SECURITIES, INC.

INVESTACORP, INC.

THE ADVISORS GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/14/1990

Series 63

Date: 10/2/1984

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

Series 24

Date: 1/26/2007

Current Firm

VICTORY CAPITAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VICTORY CAPITAL SERVICES, INC.

TRUST BUT VERIFY

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