James M. Morris

GUGGENHEIM SECURITIES

New York, NY 10017

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CRD#: 2291288

Professional summary

James Malcolm Morris, who also goes by Jame Malcolm Morris, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 62 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jame Malcolm Morris

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) - BD

Click below to view James Malcolm Morris'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

September 16, 2014 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 330 Madison Avenue, New York, NY 10017

CRD#: 40638

New York, NY

Past

June 14, 1999 - September 17, 2014

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 1, 1997 - June 14, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

May 13, 1993 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

State Registrations and Notice Filings

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

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

Maryland
(6/30/2024)

New York
(9/16/2014)

Exams

State Security Law Exam

Series 63

Date: 6/12/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 5/12/1993

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/15/2015

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

GUGGENHEIM SECURITIES, LLC

GUGGENHEIM CAPITAL MARKETS, LLC | LINKS SECURITIES LLC | LINKS SECURITIES INC. | GUGGENHEIM SECURITIES, LLC

CRD#: 40638 / SEC#: , 8-49107

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

330 Madison Avenue, New York, NY 10017

Mailing Address

330 Madison Avenue 8th Floor, New York, NY 10017

Phone number

(212) 518-9200

Established

Delaware since 01/29/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LINKS HOLDINGS, LLC	MEMBER
GUGGENHEIM MANAGER, INC.	MANAGING MEMBER
LOWERY WHILLE, TRACY	CHIEF COMPLIANCE OFFICER	2872693
MILLSTEIN, JAMES E.	CO-CHARIMAN	4270577
SCHWARTZ, ALAN DAVID	CO-CHAIRMAN	416184
SCHWARTZ, ANDREW JON	CHIEF FINANCIAL OFFICER	5121914
TSOU, SUSAN	FINOP & PRINCIPAL FINANCIAL OFFICER	6187001
VAN LITH, MARK ALAN	CHEIF EXECUTIVE OFFICER	2263510
WINICK, HOWARD NEIL	PRINCIPAL OPERATIONS OFFICER	1871689

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

James M. Morris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Malcolm Morris's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/12/2006

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 62

Date: 5/12/1993

Series 24

Date: 1/15/2015

FINRA

Nasdaq Stock Market

Current Firm

GUGGENHEIM SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GUGGENHEIM SECURITIES, LLC

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