Robert E. 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.
Robert Eldon Morris JR., who also goes by Robert Eldon Morris Jr, Robert Eldon Morris, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 11 firms and has passed the Series 63, SIE, Series 7 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
July 19, 2021 - December 31, 2023
TD AMERITRADE, INC.
October 1, 2008 - February 16, 2024
CHARLES SCHWAB & CO., INC.
November 10, 2006 - January 3, 2007
PENSON FINANCIAL SERVICES, INC.
May 29, 2003 - July 6, 2004
PERSHING LLC
June 20, 2002 - May 28, 2003
BNY CLEARING SERVICES LLC
May 13, 1993 - November 29, 2001
NATIONAL FINANCIAL SERVICES LLC
April 11, 1991 - May 7, 1993
FIDELITY BROKERAGE SERVICES LLC
May 15, 1989 - January 3, 1991
MORGAN STANLEY DW INC.
May 24, 1988 - May 30, 1989
HIBBARD BROWN & CO., INC.
February 2, 1987 - May 31, 1988
SHERWOOD CAPITAL, INC.
January 22, 1986 - January 31, 1987
FIRST JERSEY SECURITIES, 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
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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