James E. Morrison

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CRD#: 1300151

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.

James Emmett Morrison, who also goes by Jim Morrison, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1984. James had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Morrison

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.

Business Name: University of Rio Grande Investment Related: No Address: P.O. Box 500 Rio Grande OH 45674 Nature of Business: Community/Charitable/Civic Position, Title or Relationship: Other,Private University Start Date: 1/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Member Board of TrusteesBusiness Name: AA Financial Advisors, LLC Investment Related: Yes Address: 3240 W. Henderson Road Suite A Columbus OH 43220 Nature of Business: Investment Advisory (RIA, IAR, Financial Planning, etc.) Position, Title or Relationship: Other,I am an IAR of this RIA. Start Date: 6/1/2006 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: IARBusiness Name: Holzer Foundation Investment Related: No Address: 100 Jackson Pike Gallipolis OH 45631 Nature of Business: Community/Charitable/Civic Position, Title or Relationship: Board Chairman unpaid Start Date: 1/1/2008 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Chair meetings and assist with organizing various committees within the organization.Business Name: Antolino & Associates Investment Related: Yes Address: 150 East Broad Street, Suite 100 Columbus OH 43215 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Advisor Start Date: 1/1/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Meet with clients, present solutions

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®

None

Experience

Past

May 30, 2007 - March 25, 2022

AA FINANCIAL ADVISORS, LLC

RIA

CRD#: 119829

GALLIPOLIS, OH

Past

April 28, 2006 - April 17, 2020

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

GALLIPOLIS, OH

Past

October 18, 1999 - May 26, 2006

J.E. MORRISON & ASSOCIATES

RIA

CRD#: 121266

GALLIPOLIS, OH

Past

November 22, 1994 - May 11, 2006

WALNUT STREET SECURITIES, INC.

CRD#: 15840

GALLIPOLIS, OH

Past

November 19, 1989 - November 23, 1994

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 15, 1986 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 1, 1984 - October 9, 1986

D.I. SECURITIES, INC.

CRD#: 7595

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".

AA FINANCIAL ADVISORS, LLC

CRD#: 119829 / SEC#: 801-125806

RIA

Registered Investment Advisory firm - (6/3/2022 Approved)

Louisiana

Registered Investment Advisory firm - (6/21/2022 Terminated)

Ohio

Registered Investment Advisory firm - (6/23/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/21/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

Series 63

Date: 6/3/1986

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: 5/17/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/6/1984

Direct Participation Programs Representative Examination

Current Firm

AA FINANCIAL ADVISORS, LLC

CRD#: 119829 / SEC#: 801-125806

RIA

Registered Investment Advisory firm - (6/3/2022 Approved)

Louisiana

Registered Investment Advisory firm - (6/21/2022 Terminated)

Ohio

Registered Investment Advisory firm - (6/23/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/21/2022 Terminated)

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Contact information

Main Address

150 E. Broad St. Suite 100, Columbus, OH 43215

Mailing Address

Phone number

(614) 442-3355

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/6/2025)

Regulatory assets under management

Total Number of Accounts	2,097
AUM (Assets Under Management)	$ 1,012,205,353

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

James E. Morrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

J.E. MORRISON & ASSOCIATES

WALNUT STREET SECURITIES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

D.I. SECURITIES, INC.

Primary Firm SEC Registration

AA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/3/1986

SIE

Date: 10/1/2018

Series 7

Date: 5/17/1986

Series 22

Date: 8/6/1984

Current Firm

AA FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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