Duane M. Morrow
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.
Duane Mcelmurray Morrow, who also goes by Duane Swilling Mcelmurray, was a registered financial professional .
Duane is a previously registered financial professional and started their career in finance in 1987. Duane had worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2021 - December 31, 2023
CAPE SECURITIES INC.
August 15, 2011 - September 13, 2019
PFS INVESTMENTS INC.
May 7, 1987 - September 13, 2019
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
