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NM

Noreen E. Morris

Some features on this profile are disabled
CRD#: 2092887
NM

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.

Noreen Elizabeth Morris, who also goes by Noreen E Davenport, Noreen Elizabeth Davenport, Noreen Davenport, Norreen E Morris, Noreen E Szalwinski, Noreen Elizabeth Szalwinski, was a registered financial professional .

Noreen is a previously registered financial professional and started their career in finance in 1991. Noreen had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 11 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Noreen E Davenport | Noreen Elizabeth Davenport | Noreen Davenport | Norreen E Morris | Noreen E Szalwinski | Noreen Elizabeth Szalwinski

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 22, 2016 - February 23, 2024

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Harleysville, PA
Past

August 5, 2016 - November 13, 2017

PLATINUM WEALTH PARTNERS

RIA
CRD#: 145507
Skippack, PA
Past

June 1, 2009 - June 30, 2016

MORGAN STANLEY

RIA
CRD#: 149777
BLUE BELL, PA
Past

June 1, 2009 - June 30, 2016

MORGAN STANLEY

BD
CRD#: 149777
BLUE BELL, PA
Past

January 2, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
BLUE BELL, PA
Past

January 2, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
BLUE BELL, PA
Past

December 1, 2003 - January 6, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BLUE BELL, PA
Past

September 22, 1995 - January 6, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BLUE BELL, PA
Past

June 17, 1994 - August 18, 1995

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

September 20, 1993 - May 31, 1994

INVESTEC INC.

BD
CRD#: 18553
NEW YORK, NY
Past

October 3, 1991 - September 25, 1993

RUTHERFORD, BROWN & CATHERWOOD, LLC

BD
CRD#: 10306
PHILADELPHIA, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/10/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/7/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/3/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 11
Date: 10/1/1991
Assistant Representative-Order Processing Qualification Exam

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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