Mindey K. Morrison
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.
Mindey Karen Morrison, who also goes by Mindy Morrison, was a registered financial professional .
Mindey is a previously registered financial professional and started their career in finance in 1996. Mindey had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 62, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2021 - December 31, 2024
CRESCENT SECURITIES GROUP, INC.
February 8, 2021 - June 2, 2021
EMERSON EQUITY LLC
May 30, 2017 - December 15, 2020
THE M & A GROUP LLC
September 24, 2014 - December 31, 2015
WILLIAM JORDAN INVESTMENTS, INC.
June 12, 2014 - December 31, 2015
MORRISON INVESTMENT MANAGEMENT
January 7, 2010 - April 3, 2014
EFFICIENT MARKET ADVISORS, LLC
February 3, 2003 - December 22, 2009
LPL FINANCIAL LLC
February 3, 2003 - December 22, 2009
LPL FINANCIAL LLC
July 8, 1997 - February 11, 2003
CITIGROUP GLOBAL MARKETS INC.
January 28, 1997 - February 11, 2003
CITIGROUP GLOBAL MARKETS INC.
December 10, 1996 - April 21, 1997
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 5/30/2017
Corporate Securities Limited Representative ExaminationCurrent Firm
CRESCENT SECURITIES GROUP, INC.
CRD#: 114993 / SEC#: , 8-53457
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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