Philip F. Morrissey

Some features on this profile are disabled

CRD#: 2094107

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.

Philip Franklin Morrissey JR was a registered financial professional .

Philip is a previously registered financial professional and started their career in finance in 1990. Philip had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) NAPLES WEALTH PLANNING 1016 COLLIER CENTER WAY, #201, NAPLES, FL 34110 - REGISTERED INVESTMENT ADVISOR - PORTFOLIO MANAGER SINCE 6/2018 - APPROX 70 HRS/MO - FEE BASED COMPENSATION 2) DOUGLAS GARDENS MENTAL HEALTH CENTER 1680 MERIDIAN AVENUE, 4TH FLOOR, MIAMI BEACH, FL 33139 - TREASURER SINCE 2010 - APPROX 4 HRS/MO - NO COMPENSATION.

Blog Corner

CRS (Client Relationship Summary)

CRD#: 35747

Miami, FL

Past

February 27, 2012 - February 6, 2014

MORGAN STANLEY

RIA

CRD#: 149777

AVENTURA, FL

Past

February 17, 2012 - February 6, 2014

MORGAN STANLEY

CRD#: 149777

AVENTURA, FL

Past

May 2, 2007 - February 21, 2012

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

CORAL GABLES, FL

Past

April 26, 2007 - February 21, 2012

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

CORAL GABLES, FL

Past

November 16, 1990 - January 2, 1996

BULL & BEAR SECURITIES, INC.

CRD#: 15142

NEW YORK, NY

Past

October 5, 1990 - January 9, 1991

MIDAS SECURITIES GROUP, INC.

CRD#: 14009

ROCHESTER, NY

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".

LAIDLAW WEALTH MANAGEMENT LLC

CRD#: 150040 / SEC#: 801-112592

RIA

Registered Investment Advisory firm - (3/9/2018 Approved)

New Jersey

Registered Investment Advisory firm - (4/13/2018 Terminated)

New York

Registered Investment Advisory firm - (4/5/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (4/5/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/30/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/19/1993

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/19/1993

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/30/1991

General Securities Principal Examination

Current Firm

LAIDLAW WEALTH MANAGEMENT LLC

CRD#: 150040 / SEC#: 801-112592

RIA

Registered Investment Advisory firm - (3/9/2018 Approved)

New Jersey

Registered Investment Advisory firm - (4/13/2018 Terminated)

New York

Registered Investment Advisory firm - (4/5/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (4/5/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2018 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

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

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

Contact information

Main Address

521 Fifth Ave 12th Floor, New York, NY 10175

Mailing Address

Phone number

(212) 953-4910

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAIDLAW WEALTH MANAGEMENT FORM ADV PART 2A (MARCH 28, 2025) (3/28/2025)

Regulatory assets under management

Total Number of Accounts	235
AUM (Assets Under Management)	$ 114,764,475

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Philip F. Morrissey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTERNATIONAL ASSETS ADVISORY, LLC

CAPITALROCK FINANCIAL, LLC

HAYDEN ROYAL

PLATINUM WEALTH PARTNERS

CAPITALROCK INVESTMENTS, LLC

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

MORGAN STANLEY

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

BULL & BEAR SECURITIES, INC.

MIDAS SECURITIES GROUP, INC.

Primary Firm SEC Registration

LAIDLAW WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/30/2007

Series 63

Date: 10/26/1990

SIE

Date: 9/24/2018

Series 7

Date: 4/25/2007

Series 53

Date: 7/19/1993

Series 4

Date: 7/19/1993

Series 24

Date: 10/30/1991

Current Firm

LAIDLAW WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAIDLAW WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors