Stephen E. Morris
Professional summary
Stephen Eugene Morris is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Eugene Morris's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2017 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901August 11, 2011 - May 24, 2016
LPL FINANCIAL LLC
September 4, 2009 - August 16, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 29, 2008 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
November 6, 2006 - October 4, 2007
CAPLINK SECURITIES, INC
March 5, 2002 - October 25, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
October 1, 1997 - March 4, 2002
OSAIC FS, INC.
February 27, 1996 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
May 23, 1994 - February 29, 1996
INTERVEST INTERNATIONAL EQUITIES CORPORATION
December 10, 1993 - May 23, 1994
PROGRAMMED EQUITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2017)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
