Andrea H. 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.
Andrea Holly Morris, who also goes by Andrea Holly Abourisk, was a registered financial professional .
Andrea is a previously registered financial professional and started their career in finance in 1990. Andrea had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2004 - May 13, 2016
CADARET, GRANT & CO., INC.
June 11, 2001 - April 22, 2003
JOHN HANCOCK DISTRIBUTORS LLC
May 8, 1996 - March 29, 2001
NEW ENGLAND SECURITIES
November 18, 1993 - October 4, 1995
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, INC.
January 1, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 1, 1990 - November 13, 1995
PRUCO SECURITIES, LLC.
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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 |
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.
