Judy Y. Morris
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.
Judy Young Morris was a registered financial professional .
Judy is a previously registered financial professional and started their career in finance in 1992. Judy had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2013 - May 30, 2014
CABOT LODGE SECURITIES LLC
May 2, 2012 - May 30, 2014
CL WEALTH MANAGEMENT LLC
May 2, 2012 - August 22, 2013
ALLIED BEACON PARTNERS, INC.
February 9, 2011 - May 1, 2012
EQUITY SERVICES, INC.
August 23, 1999 - December 31, 2006
EQUITY SERVICES, INC.
May 4, 1993 - May 1, 2012
EQUITY SERVICES, INC.
September 21, 1992 - April 15, 1993
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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