Morris H. Fair
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.
Morris Harley Fair was a registered financial professional .
Morris is a previously registered financial professional and started their career in finance in 1971. Morris had worked at 6 firms and has passed the Series 63 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2003 - April 12, 2004
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
December 23, 1999 - June 3, 2003
UBS FINANCIAL SERVICES INC.
May 1, 1995 - December 31, 1998
RAYMOND JAMES & ASSOCIATES, INC.
January 27, 1993 - July 23, 1993
VINING-SPARKS IBG, LLC
January 1, 1991 - January 1, 1991
VINING-SPARKS IBG, LLC
October 3, 1988 - February 1, 1991
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
October 15, 1971 - October 3, 1988
UMIC, INC.
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 00
Date: 10/8/1971
General Securities Principal ExaminationCurrent Firm
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
CRD#: 6950 / SEC#: 801-68820, 8-18971
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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.
