Michael W. Morford
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.
Michael White Morford, who also goes by Michael Lynn White, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 6 firms and has passed the Series 63, Series 7 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
May 14, 2010 - October 17, 2012
STERNE, AGEE & LEACH, INC.
September 23, 2008 - May 11, 2010
KEYBANC CAPITAL MARKETS INC.
February 4, 2004 - September 24, 2008
JEFFERIES LLC
May 6, 2002 - July 26, 2002
FROST SECURITIES, INC.
August 13, 2001 - April 29, 2002
SANDERS MORRIS LLC
April 7, 1997 - March 20, 2000
JOHNSON RICE & COMPANY L.L.C.
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
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
