John J. Morris
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.
John James Morris, who also goes by John J Morris, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2015 - July 12, 2017
NATIONAL FINANCIAL SERVICES LLC
April 27, 2012 - July 12, 2017
FIDELITY BROKERAGE SERVICES LLC
March 19, 2001 - October 4, 2011
FIDELITY BROKERAGE SERVICES LLC
March 27, 2000 - October 5, 2011
NATIONAL FINANCIAL SERVICES LLC
October 22, 1999 - March 27, 2000
FIDELITY BROKERAGE SERVICES LLC
May 12, 1998 - October 15, 1999
NATIONAL FINANCIAL SERVICES LLC
December 23, 1997 - April 7, 1998
MOORS & CABOT, INC.
October 14, 1997 - February 17, 1998
CHARLES SCHWAB & CO., INC.
July 25, 1994 - September 29, 1997
CANTELLA & CO., INC.
July 31, 1993 - August 1, 1994
CITIGROUP GLOBAL MARKETS INC.
August 5, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
April 20, 1988 - January 2, 1989
CANTELLA & CO., 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 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 12/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
