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Donald B. Morley

CAPITAL CITIES INVESTMENTS
Northbrook, IL
Some features on this profile are disabled
CRD#: 1544122
DM

Professional summary

Donald Buel Morley is a registered financial advisor currently at CAPITAL CITIES INVESTMENTS located in Northbrook, Illinois.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Donald has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
1)Capital Cities Investments;investment related;426 E. New York Street;RIA;affiliated advisor;6/9/2017;20 hrs/month;4 hrs during trading;affiliated advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Buel Morley's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

June 12, 2017 - Present

CAPITAL CITIES INVESTMENTS

RIA
CRD#: 116185
Northbrook, IL
Past

June 9, 2017 - November 2, 2023

TRIAD ADVISORS LLC

BD
CRD#: 25803
Portland, IN
Past

June 1, 2009 - June 12, 2017

MORGAN STANLEY

RIA
CRD#: 149777
DEERFIELD, IL
Past

June 1, 2009 - June 12, 2017

MORGAN STANLEY

BD
CRD#: 149777
DEERFIELD, IL
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
RIVERWOODS, IL
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
RIVERWOODS, IL
Past

February 14, 1998 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
RIVERWOODS, IL
Past

August 19, 1986 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
RIVERWOODS, IL

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".
CC
CAPITAL CITIES INVESTMENTS
CAPITAL CITIES INVESTMENTS

CRD#: 116185 / SEC#: 801-69504

RIA
Registered Investment Advisory firm - (8/27/2008 Approved)
Florida
Registered Investment Advisory firm - (8/27/2008 Terminated)
Indiana
Registered Investment Advisory firm - (8/27/2008 Terminated)
Massachusetts
Registered Investment Advisory firm - (9/10/2008 Terminated)
Vermont
Registered Investment Advisory firm - (8/27/2008 Terminated)
Virginia
Registered Investment Advisory firm - (8/27/2008 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Illinois
(6/12/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/5/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/25/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 2/23/1996
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CC
CAPITAL CITIES INVESTMENTS
CAPITAL CITIES INVESTMENTS

CRD#: 116185 / SEC#: 801-69504

RIA
Registered Investment Advisory firm - (8/27/2008 Approved)
Florida
Registered Investment Advisory firm - (8/27/2008 Terminated)
Indiana
Registered Investment Advisory firm - (8/27/2008 Terminated)
Massachusetts
Registered Investment Advisory firm - (9/10/2008 Terminated)
Vermont
Registered Investment Advisory firm - (8/27/2008 Terminated)
Virginia
Registered Investment Advisory firm - (8/27/2008 Terminated)
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Contact information

Main Address
426 East New York Street, Indianapolis, IN 46202
Mailing Address
Phone number
(317) 475-4500
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CAPITAL CITIES INVESTMENTS ADV BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts1,319
AUM (Assets Under Management)$ 251,443,578

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.

Company Information

CAPITAL CITIES INVESTMENTS

CRD#: 116185Northbrook, IL

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Contact information

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