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DM

Daniel S. Morrissett

CARTY, HARDING & HEARN
Berryville, VA
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CRD#: 2297292
DM

Professional summary


Daniel Scott Morrissett is a registered financial professional currently at CARTY, HARDING & HEARN, INC. located in Berryville, Virginia.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1993. Daniel has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Daniel Scott Morrissett'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

February 5, 1993 - Present

CARTY, HARDING & HEARN, INC.

Office #2: 6263 Poplar Avenue Suite 800, Memphis, TN 38119
BD
CRD#: 7001
Berryville, VA

State Registrations and Notice Filings


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

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
(1/1/1994)
RR
Arkansas
(2/14/1994)
RR
California
(8/11/2005)
RR
Colorado
(7/10/2001)
RR
District of Columbia
(3/9/2018)
RR
Florida
(4/28/1998)
RR
Georgia
(5/10/1994)
RR
Illinois
(4/23/2001)
RR
Kansas
(11/6/1997)
RR
Kentucky
(3/8/1994)
RR
Louisiana
(7/6/1993)
RR
Maryland
(11/20/1996)
RR
Minnesota
(8/6/2012)
RR
Mississippi
(11/5/1993)
RR
Missouri
(4/24/2001)
RR
Nevada
(4/5/2011)
RR
New Jersey
(12/4/2015)
RR
New Mexico
(3/3/2009)
RR
New York
(7/13/1994)
RR
North Carolina
(4/21/1997)
RR
Ohio
(2/7/2018)
RR
Oklahoma
(7/31/1995)
RR
Pennsylvania
(5/12/1993)
RR
South Carolina
(1/26/1998)
RR
Tennessee
(2/23/1993)
RR
Texas
(6/9/1993)
RR
Utah
(9/10/2010)
RR
Virgin Islands
(5/5/2017)
RR
Virginia
(11/1/1993)
RR
Washington
(9/15/2010)
RR
West Virginia
(3/16/1993)

Exams


State Security Law Exam
RR
Series 63
Date: 2/18/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


CH
CARTY, HARDING & HEARN, INC.
CARTY & COMPANY, INC. | CHH | CARTY, HARDING, & HEARN, INC. | CARTY, HARDING & HEARN, INC. | CARTY, HARDING & HEARN

CRD#: 7001 / SEC#: , 8-19082

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


Main Address
6263 Poplar Avenue Suite 800, Memphis, TN 38119
Mailing Address
P.o. Box 17527, Memphis, TN 38187-0527
Phone number
(901) 767-8940
Established
Tennessee since 10/07/1970
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
CARTY FINANCIAL CORPORATIONOWNER
CARTY, BILLY RANDOLPHCEO42297
CARTY, WILLIAM LAWRENCEPRESIDENT2356971
HEARN, JOHN ARTHURMANAGING DIRECTOR2078994
RUETTEN, ANGELA LYNNCFO
SCOLA, JENNIFER CARTYCOO, CCO1720872
TUCKER, CLARK BOMARFINOP1977842

Disclosures


Regulatory Event19

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


CARTY, HARDING & HEARN, INC.

CRD#: 7001Berryville, VA

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