Theodore D. Mcmorrough
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.
Theodore Duncan Mcmorrough was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1998. Theodore had worked at 7 firms and has passed the Series 65, Series 63, SIE, 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
October 4, 2016 - March 16, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 3, 2016 - March 16, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 31, 2015 - October 3, 2016
FIFTH THIRD SECURITIES, INC.
August 31, 2015 - October 3, 2016
FIFTH THIRD SECURITIES, INC.
March 19, 2012 - November 25, 2013
EDWARD JONES
March 16, 2012 - November 25, 2013
EDWARD JONES
January 3, 2011 - March 20, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - March 20, 2012
WELLS FARGO CLEARING SERVICES, LLC
April 12, 2002 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 12, 2002 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 23, 2001 - February 11, 2002
WELLS FARGO CLEARING SERVICES, LLC
October 19, 1999 - October 22, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 1998 - September 28, 1999
MORGAN STANLEY DW 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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