James G. Morse
Professional summary
James Grant Morse was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James Grant Morse, who also goes by James Grant Morse IV, Jim Morse Iv, Jimmy Morse Iv, James Grant Morse Iv Iv, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1998. James had worked at 5 firms and has passed the Series 65, Series 63, 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
August 2, 2010 - September 17, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 2, 2010 - September 17, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 30, 2009 - May 28, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
July 29, 2009 - May 28, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
April 17, 2006 - April 27, 2009
CITIGROUP GLOBAL MARKETS INC.
April 13, 2006 - April 27, 2009
CITIGROUP GLOBAL MARKETS INC.
October 25, 2000 - April 20, 2006
MORGAN STANLEY DW INC.
October 25, 2000 - April 20, 2006
MORGAN STANLEY DW INC.
May 21, 1999 - October 5, 2000
CITIGROUP GLOBAL MARKETS INC.
July 24, 1998 - October 16, 1998
BARRON CHASE SECURITIES, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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