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Patrick R. Morrison

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CRD#: 3159281
PM

Professional summary

Patrick Roger Morrison was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Patrick is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Patrick had worked at 3 firms, which includes EQUITRADE SECURITIES CORPORATION, AC FINANCIAL INC., LADENBURG CAPITAL MANAGEMENT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patrick Morrison

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 24, 2000 - December 9, 2002

EQUITRADE SECURITIES CORPORATION

BD
CRD#: 29558
LAKE FOREST, CA
Past

April 6, 2000 - June 2, 2000

AC FINANCIAL, INC.

BD
CRD#: 21616
PALM HARBOR, FL
Past

January 19, 1999 - July 9, 1999

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/8/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/31/1998
General Securities Representative Examination

Current Firm

ES
EQUITRADE SECURITIES CORPORATION
EQUITRADE SECURITIES CORPORATION

CRD#: 29558 / SEC#: , 8-44402

BD
Cancelled by SEC on 10/09/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 12/10/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ROEBUCK, PHILIP DALEVICE PRESIDENT / CHIEF COMPLIANCE OFFICER2717291
ROEBUCK, STEPHEN HAROLDPRESIDENT, CEO2153655
CARROLL, KIM SANGCFO, COO, FINOP, CROP, SROP, MUNI, SECRETARY2725976

Disclosures

Regulatory Event7
Arbitration2

Red Flags

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Company Information

EQUITRADE SECURITIES CORPORATION

CRD#: 29558

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