James S. Morrison

KEYSTONE FINANCIAL GROUP

SOMERSET, KY 42501

Some features on this profile are disabled

CRD#: 2072248

Professional summary

James Scott Morrison, who also goes by Scott Morrison, is a registered financial advisor currently at KEYSTONE FINANCIAL GROUP, LLC located in Somerset, Kentucky and LPL FINANCIAL LLC located in Somerset, Kentucky.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 5 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 8 exams.

Aliases

Scott Morrison

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.

1. 5/19/2014: KEYSTONE FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 6/2/2014: TOWN SQUARE INVESTMENTS - Not Investment Related - At Reported Business Location(s) - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - START 05/19/2014 - 4 Hours Per Month/0 Hours During Securities Trading. 3. 6/17/2014: KEYSTONE FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR - IAR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Scott Morrison's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 21, 2014 - Present

KEYSTONE FINANCIAL GROUP, LLC

Office #1: 38 Public Square, Somerset, KY 42501

RIA

CRD#: 170201

SOMERSET, KY

Current

May 19, 2014 - Present

LPL FINANCIAL LLC

Office #1: 203 N Main Street, Somerset, KY 42501

RIA

CRD#: 6413

SOMERSET, KY

Past

May 9, 2008 - May 20, 2014

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

SOMERSET, KY

Past

May 9, 2008 - May 20, 2014

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

SOMERSET, KY

Past

January 1, 2008 - May 14, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SOMERSET, KY

Past

January 1, 2008 - May 14, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SOMERSET, KY

Past

October 28, 2003 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

SOMERSET, KY

Past

January 31, 2003 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

SOMERSET, KY

Past

August 27, 1990 - February 3, 2003

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

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".

KEYSTONE FINANCIAL GROUP, LLC

CRD#: 170201 / SEC#: 801-79274

RIA

Registered Investment Advisory firm - (2/26/2014 Approved)

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.

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

Alabama
(5/19/2014)

California
(12/14/2018)

Florida
(5/19/2014)

Georgia
(5/19/2014)

Illinois
(1/9/2026)

Indiana
(5/15/2020)

Kentucky
(5/19/2014)

IAR

Kentucky
(5/21/2014)

Maryland
(5/19/2014)

Minnesota
(4/30/2024)

Missouri
(5/19/2014)

New York
(5/19/2014)

Ohio
(5/19/2014)

South Carolina
(5/19/2014)

Tennessee
(5/19/2014)

Virginia
(1/4/2019)

West Virginia
(5/19/2014)

Wisconsin
(2/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 8/29/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Status Unavailable

Passed: 1/29/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 8/22/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Status Unavailable

Passed: 5/28/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

KEYSTONE FINANCIAL GROUP, LLC

CRD#: 170201 / SEC#: 801-79274

RIA

Registered Investment Advisory firm - (2/26/2014 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

527 Wellington Way, Ste 225, Lexington, KY 40503

Mailing Address

Phone number

(859) 317-8316

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEYSTONE FINANCIAL GROUP, LLC ADV PART 2A (3/13/2026)

KEYSTONE FINANCIAL GROUP, LLC ADV PART 2A APPENDIX 1 (3/13/2026)

Regulatory assets under management

Total Number of Accounts	6,628
AUM (Assets Under Management)	$ 2,338,235,877

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

George Mcfadden

INDEPENDENCE CAPITAL CO., INC.

PARMA, OH

Kurt Knotts-simmons

PRIMERICA BROKERAGE SERVICES, INC.

DULUTH, GA

Natalia Avila

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

SANTA CLARITA, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James S. Morrison

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Scott Morrison's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

J.J.B. HILLIARD, W.L. LYONS, LLC

Primary Firm SEC Registration

KEYSTONE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Passed: 8/29/1990

SIE

Passed: 10/1/2018

Series 31

Passed: 1/29/2009

Series 7

Passed: 8/22/1990

Series 8

Passed: 5/28/1998

FINRA

Current Firm

KEYSTONE FINANCIAL GROUP, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEYSTONE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors