Steve 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.
Steve Morris, who also goes by Shalva Morris, was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 1997. Steve had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2016 - January 30, 2018
WYNSTON HILL CAPITAL, LLC
February 10, 2015 - October 7, 2015
HALCYON CABOT PARTNERS, LTD.
June 11, 2013 - December 11, 2014
PHX FINANCIAL, INC.
July 20, 2009 - December 18, 2012
BROOKVILLE CAPITAL PARTNERS
April 19, 2006 - July 15, 2009
WHITAKER SECURITIES LLC
August 16, 2004 - June 5, 2006
GRANITE ASSOCIATES, INC
November 20, 2002 - August 31, 2004
LADENBURG THALMANN & CO. INC.
January 6, 1997 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WYNSTON HILL CAPITAL, LLC
CRD#: 103811 / SEC#: , 8-52299
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
