Anthony D. Morrison
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.
Anthony Dwayne Morrison, who also goes by Anthony D Morrison, Anthony D. Morrison, Anthony Dwayne Morrison, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1996. Anthony had worked at 12 firms and has passed the Series 63, SIE, Series 7 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
April 30, 2020 - August 7, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 22, 2015 - February 14, 2020
THE LEADERS GROUP, INC.
September 29, 2014 - May 6, 2015
VOYA FINANCIAL ADVISORS, INC.
December 10, 2013 - May 27, 2014
CETERA INVESTMENT SERVICES LLC
May 16, 2013 - October 21, 2013
BBVA SECURITIES INC.
February 20, 2013 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 25, 2012 - January 14, 2013
ALLSTATE FINANCIAL SERVICES, LLC
December 21, 2007 - February 17, 2012
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
July 21, 2005 - December 14, 2007
JOHN HANCOCK DISTRIBUTORS LLC
December 31, 2000 - June 21, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 23, 1998 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
November 18, 1997 - December 8, 1997
CINCINNATI ANALYSTS, INC.
June 3, 1996 - September 4, 1996
DELAWARE DISTRIBUTORS, L.P.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 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.
