JM
James S. Morrison
KEYSTONE FINANCIAL GROUP
SOMERSET, KY 42501
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CRD#: 2072248
JM
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.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view James Scott Morrison'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
May 21, 2014 - Present
KEYSTONE FINANCIAL GROUP, LLC
Office #1: 38 Public Square, Somerset, KY 42501RIA
CRD#: 170201
SOMERSET, KY
Current
May 19, 2014 - Present
LPL FINANCIAL LLC
Office #1: 203 N Main Street, Somerset, KY 42501RIA
BD
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
BD
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
BD
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.
BD
CRD#: 4
SOMERSET, KY
Past
August 27, 1990 - February 3, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
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".
KF
KEYSTONE FINANCIAL GROUP, LLC
ATHLETIC ESSENTIALS | WATTS FINANCIAL CORP | STONEWALL MANAGEMENT | SOLOPRENUER FINANCIAL | SEALS FINANCIAL PLANNING | R. L. BROWN WEALTH MANAGEMENT | KEYSTONE FINANCIAL GROUP, LLC | JENNINGS AND ASSOCIATES | J.R. YOUNG COMPANY | HARRIS FINANCIAL
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.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(5/19/2014)
RR
California(12/14/2018)
RR
Florida(5/19/2014)
RR
Georgia(5/19/2014)
RR
Indiana(5/15/2020)
RR
Kentucky(5/19/2014)
IAR
Kentucky(5/21/2014)
RR
Maryland(5/19/2014)
RR
Minnesota(4/30/2024)
RR
Missouri(5/19/2014)
RR
New York(5/19/2014)
RR
Ohio(5/19/2014)
RR
South Carolina(5/19/2014)
RR
Tennessee(5/19/2014)
RR
Virginia(1/4/2019)
RR
West Virginia(5/19/2014)
RR
Wisconsin(2/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/28/1998
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
KF
KEYSTONE FINANCIAL GROUP, LLC
ATHLETIC ESSENTIALS | WATTS FINANCIAL CORP | STONEWALL MANAGEMENT | SOLOPRENUER FINANCIAL | SEALS FINANCIAL PLANNING | R. L. BROWN WEALTH MANAGEMENT | KEYSTONE FINANCIAL GROUP, LLC | JENNINGS AND ASSOCIATES | J.R. YOUNG COMPANY | HARRIS FINANCIAL
CRD#: 170201 / SEC#: 801-79274
RIA
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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
44
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,153 |
| AUM (Assets Under Management) | $ 1,858,938,537 |
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.
Company Information
KEYSTONE FINANCIAL GROUP, LLC
CRD#: 170201Somerset, KY 42501TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
