William M. Morris

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CRD#: 1321847

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.

William Mitchell Morris SR, who also goes by Bill Morris, William Mitchell Morris, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1985. William had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Morris | William Mitchell Morris

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)DOCTORS RESOURCE GROUP 523 N. BERTRAND STREET KNOXVILLE, TN AS PRESIDENT, I WRITE MEDICAL ARTICLES FOR E. TN MEDICAL NEWS. I HAVE BEEN WRITING THE ARTICLES FOR 3 YEARS I DEVOTE APPROX. 10 HOURS PER MONTH IN THE EVENENINGS FOR THESE ARTICLES. 2)UNIVERSITY OF TN, NOT INVESTMENT RELATED, I TEACH A BBQ COOKING CLASS TWICE A YEAR ON WEEKENDS. I HAVE BEEN TEACHING THESE CLASSES FOR 3 YEARS, THEY DO NOT TAKE ANY OF MY TIME DURING SECURITIES TRADING HOURS, 2 WEEKENDS A YEAR. 3)HOLY SMOKERS TOO, LLC / BBQ COOKING CLASSES AND COOKBOOKS / 523 N. BERTRAND STREET KNOXVILLE, TN 37917 / OWNER / START DATE 05/01/2002 - / WILL THE ACTIVITY/BUSINESS INVOLVE SECURITIES TRADING, INVESTMENT, OR ADVICE? NO / 10 HRS PER MONTH. 4)KNOX VEGAS PUBLISHING / 523 N. BERTRAND STREET KNOXVILLE, TENNESSEE 37917 / SOLE PROPRIETORSHIP / BROADCASTING, MEDIA & PUBLISHING / SELF-PUBLISHING FICTION NOVELS / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO / SOLE PROPRIETORSHIP / WRITING AND SALES OF BOOKS / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? NO/ START DATE 10/01/2009. 5)UNIVERSITY OF TENNESSEE / CUMBERLAND AVENUE KNOXVILLE, TENNESSEE 37996 / / DEPARTMENT OF RELIGIOUS STUDY / ADVISOR OR MEMBER OF AN ADVISORY COMMITTEE, IF THE ADVICE GIVEN WILL OR MAY INFLUENCE AN OFFICER OR BOARD OF A GOVERNMENTAL ENTITY / MEMBER OF VISITORS BOARD FOR THE DEPARTMENT OF RELIGIOUS STUDY / START DATE 6/1/2010.

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

October 14, 2010 - January 8, 2025

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

KNOXVILLE, TN

Past

October 14, 2010 - January 8, 2025

UBS FINANCIAL SERVICES INC.

CRD#: 8174

KNOXVILLE, TN

Past

May 19, 2008 - November 17, 2008

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

KNOXVILLE, TN

Past

February 20, 2008 - November 17, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

August 2, 2007 - February 19, 2008

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

Past

January 26, 2007 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

KNOXVILLE, TN

Past

January 26, 2007 - July 24, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

KNOXVILLE, TN

Past

June 6, 2006 - November 2, 2006

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 111757

MEMPHIS, TN

Past

May 22, 2006 - October 31, 2006

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

KNOXVILLE, TN

Past

January 29, 2004 - May 15, 2006

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

KNOXVILLE, TN

Past

June 28, 2000 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Past

June 28, 2000 - May 15, 2006

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

March 1, 1996 - December 31, 1998

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

November 7, 1994 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Past

May 12, 1988 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Past

July 25, 1985 - June 1, 1988

NORTHCUTT-OWEN AND COMPANY

CRD#: 14372

Past

March 11, 1985 - April 26, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

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

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: 2/5/1985

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: 9/19/1987

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/22/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/8/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

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

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Contact information

Main Address

1200 Harbor Boulevard, Weehawken, NJ 07086

Mailing Address

315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238

Phone number

(201) 352-3000

Established

Delaware since 06/30/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

12,629

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UBS FINANCIAL SERVICES WRAP FEE PROGRAMS DISCLOSURE BROCHURE (11/13/2025)

FINANCIAL PLANNING SERVICES DISCLOSURE BROCHURE (3/31/2025)

RETIREMENT PLAN CONSULTING SERVICES PROGRAM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC.	OWNER
CAMACHO, MICHAEL ALAN	PRESIDENT	2907298
FRANCOMANO, LISA M.	CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS	2263875
MATTONE, RALPH	PRINCIPAL FINANCIAL OFFICER	1840894
MOZER, PETER	MANAGING DIRECTOR	2523858
MUNFA, LAUREN	CHIEF COMPLIANCE OFFICER	4431011
SAKAI, KIYE	GENERAL COUNSEL	7451987
SOMMA, JOSEPH	PRINCIPAL OPERATIONS OFFICER	2219496

Regulatory assets under management

Total Number of Accounts	1,134,923
AUM (Assets Under Management)	$ 808,822,670,899

Disclosures

Regulatory Event	475
Civil Event	5
Arbitration	443

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/26/2025	Cover Page	Report
05/15/2024	Cover Page	Report
12/19/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

William M. Morris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

LEGEND EQUITIES CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

AMSOUTH INVESTMENT SERVICES, INC.

VALIC FINANCIAL ADVISORS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

VALIC FINANCIAL ADVISORS, INC.

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

G. R. PHELPS & CO., INC.

NORTHCUTT-OWEN AND COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/5/1985

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1987

Series 22

Date: 10/22/1985

Series 6

Date: 3/8/1985

Current Firm

UBS FINANCIAL SERVICES INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

UBS FINANCIAL SERVICES INC.

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Contact information

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