Cecil A. Morgan
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.
Cecil Anderson Morgan JR was a registered financial professional .
Cecil is a previously registered financial professional and started their career in finance in 1969. Cecil had worked at 6 firms and has passed the SIE, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2013 - December 31, 2020
DOMINION INVESTOR SERVICES, INC.
March 31, 2010 - July 26, 2013
EDI FINANCIAL, INC.
January 26, 1996 - April 1, 2010
ALLIANCE FINANCIAL GROUP, INC.
March 29, 1974 - January 26, 1996
RAUSCHER PIERCE REFSNES, INC.
November 18, 1970 - March 29, 1974
RAUSCHER PIERCE SECURITIES CORPORATION
September 17, 1969 - November 2, 1973
RAUSCHER PIERCE SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 2/15/1978
AMEX Put and Call ExamSeries 1
Date: 7/26/1971
Registered Representative ExaminationSeries 40
Date: 5/28/1968
Registered Principal ExaminationCurrent Firm
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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