Richard R. 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.
Richard Roland Morris, who also goes by Dick Morris, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 5 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 1994 - March 6, 1996
MONTEREY BAY SECURITIES, INC.
April 27, 1992 - December 31, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 19, 1986 - April 30, 1992
FAIRPORT CAPITAL, INC.
April 4, 1972 - August 15, 1986
AMERICAN GENERAL EQUITY SERVICES CORPORATION
August 19, 1970 - October 4, 1971
GREEN HILL FINANCIAL SERVICE CORPORATION
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
Series 1
Date: 8/14/1970
Registered Representative ExaminationCurrent Firm
MONTEREY BAY SECURITIES, INC.
CRD#: 16274 / SEC#: , 8-33639
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Criminal | 1 |
| Arbitration | 3 |
| Judgment/Lien | 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.
