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 Ellis 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 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 1997 - June 6, 2016
SOUTHEAST INVESTMENTS, N.C., INC.
January 2, 1997 - July 14, 1997
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 28, 1991 - December 31, 1996
ROBERT THOMAS SECURITIES, INC
December 26, 1986 - July 10, 1991
MARION BASS SECURITIES CORPORATION
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 28
Date: 6/18/1997
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
