WM
William S. Morris
CAPE INVESTMENT ADVISORY
BRADENTON, FL
Some features on this profile are disabled
CRD#: 1793507
WM
Professional summary
William S Morris, who also goes by William Samuel Morris, William Morris, Bill Morris, is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Bradenton, Florida and CAPE SECURITIES INC. located in Mcdonough, Georgia.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. William has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Samuel Morris | William Morris | Bill Morris
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.
Independent Insurance Agent - Life and Health Agent; located at 3220 43rd Ave E. Bradenton, FL 34208. 40 hours per month devoted to this business with 20 hours during trading hours. Selling fixed life insurance, long term care, health insurance and supplemental health insurance. LTC Toolbox- owner of a long-term care insurance agency since 3/27/2020, located at 3220 43rd Ave E. Bradenton, FL 34208, with approximately 10 hours per month devoted to this business, 5 hours per month during trading hours Sarasota Financial Group- individual making a referral fee introducing commercial real estate developers and owners to commercial lenders, since 9/15/2021, located at 3220 43rd Ave E. Bradenton, FL 34208, with approximately 2 hours per month devoted to this business
CRS (Client Relationship Summary) - RIA
Click below to view William S Morris's 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®
NoneExperience
Current
April 6, 2020 - Present
CAPE INVESTMENT ADVISORY, INC.
RIA
CRD#: 146384
BRADENTON, FL
Current
April 21, 2020 - Present
CAPE SECURITIES INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7072
Mcdonough, GA
Past
June 21, 2016 - February 4, 2020
CALTON & ASSOCIATES, INC.
RIA
CRD#: 20999
Osprey, FL
Past
June 14, 2016 - February 4, 2020
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
Osprey, FL
Past
March 26, 2009 - April 29, 2016
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
osprey, FL
Past
March 26, 2009 - April 29, 2016
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
osprey, FL
Past
July 13, 2000 - March 31, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
SARASOTA, FL
Past
July 12, 2000 - March 31, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
SARASOTA, FL
Past
June 25, 1998 - April 1, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 14, 1994 - March 13, 1997
INTREPID SECURITIES, INC.
BD
CRD#: 19311
TORRANCE, CA
Past
June 9, 1992 - November 12, 1992
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
September 7, 1989 - June 27, 1990
MF GLOBAL INC.
BD
CRD#: 6731
NEW YORK, NY
Past
May 19, 1989 - September 6, 1989
GERALD FINANCIAL CORP.
BD
CRD#: 22533
CHICAGO, IL
Past
April 19, 1988 - June 15, 1988
HAIGH BROKERAGE GROUP, LTD.
BD
CRD#: 21039
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".
CI
CAPE INVESTMENT ADVISORY, INC.
ACCG | US VETWEALTH | TRINITY STREET FINANCIAL | THE MILESTONE CENTER | TANNER INVESTMENT GROUP | SKYVIEW WEALTH | SEQUOIA ADVISORY SERVICES | SARASOTA FINANCIAL GROUP, INC. | S. ENOCHS INVESTMENTS LLC | ROBERTS FINANCIAL PARTNERS GROUP | RIA MATCH | RETIREMENT AND WEALTH STRATEGIES | RETIRE BY DESIGN | PARADIGM FINANCIAL GROUP LLC | MD PLANNING GROUP | MARCH WEALTH MANAGEMENT | KEEPING YOU RETIRED AKA ADVANCED FINANCIAL SERVICES | KEEGAN WEALTH MANAGEMENT | JACOBS WEALTH PLANNING, INC. | INVESTMENT FIDUCIARY PLANNERS, LLC | HERITAGE PLANNING GROUP P.C. | GPDIETZ FINANCIAL | GLACIER WEALTH MANAGEMENT | GEBA WEALTH MANAGEMENT | FINANCIAL NSIGHTS INC | DEES WEALTH MANAGEMENT | CMA FINANCIAL SERVICES | CAPITAL CHOICE ADVISORS | CAPE INVESTMENT ADVISORY, INC. | BLUEPRINT FINANCIAL SOLUTIONS | BARBER LACKEY FINANCIAL GROUP | BABB FINANCIAL GROUP | APEX CAPITAL ADVISING LLC | AMERICAN GLOBAL ADVISORY SERVICES | ADVANTAGE ADVISORY GROUP
CRD#: 146384 / SEC#: 801-71349
RIA
Registered Investment Advisory firm - (4/29/2010 Approved)Georgia
Registered Investment Advisory firm - (5/25/2010 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/22/2020)
IAR
Florida(4/6/2020)
RR
Florida(4/22/2020)
RR
Georgia(4/22/2020)
RR
Michigan(5/8/2025)
RR
Mississippi(4/23/2020)
RR
North Carolina(4/23/2020)
RR
South Carolina(5/19/2023)
RR
Texas(4/22/2020)
RR
Virginia(10/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAPE INVESTMENT ADVISORY, INC.
ACCG | US VETWEALTH | TRINITY STREET FINANCIAL | THE MILESTONE CENTER | TANNER INVESTMENT GROUP | SKYVIEW WEALTH | SEQUOIA ADVISORY SERVICES | SARASOTA FINANCIAL GROUP, INC. | S. ENOCHS INVESTMENTS LLC | ROBERTS FINANCIAL PARTNERS GROUP | RIA MATCH | RETIREMENT AND WEALTH STRATEGIES | RETIRE BY DESIGN | PARADIGM FINANCIAL GROUP LLC | MD PLANNING GROUP | MARCH WEALTH MANAGEMENT | KEEPING YOU RETIRED AKA ADVANCED FINANCIAL SERVICES | KEEGAN WEALTH MANAGEMENT | JACOBS WEALTH PLANNING, INC. | INVESTMENT FIDUCIARY PLANNERS, LLC | HERITAGE PLANNING GROUP P.C. | GPDIETZ FINANCIAL | GLACIER WEALTH MANAGEMENT | GEBA WEALTH MANAGEMENT | FINANCIAL NSIGHTS INC | DEES WEALTH MANAGEMENT | CMA FINANCIAL SERVICES | CAPITAL CHOICE ADVISORS | CAPE INVESTMENT ADVISORY, INC. | BLUEPRINT FINANCIAL SOLUTIONS | BARBER LACKEY FINANCIAL GROUP | BABB FINANCIAL GROUP | APEX CAPITAL ADVISING LLC | AMERICAN GLOBAL ADVISORY SERVICES | ADVANTAGE ADVISORY GROUP
CRD#: 146384 / SEC#: 801-71349
RIA
Registered Investment Advisory firm - (4/29/2010 Approved)Georgia
Registered Investment Advisory firm - (5/25/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1600 Pennsylvania Ave., Mcdonough, GA 30253
Mailing Address
Phone number
(678) 583-1120
Established
Firm type
Fiscal year end
# of Employees
140
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,769 |
| AUM (Assets Under Management) | $ 402,413,992 |
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.
