Alan E. 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.
Alan Earl Morris was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1969. Alan had worked at 5 firms and has passed the Series 65, Series 63, Series 5, PC, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2000 - January 31, 2003
SHIELDS & COMPANY
June 11, 1993 - March 2, 2000
PRUDENTIAL EQUITY GROUP, LLC
March 4, 1988 - June 16, 1993
UBS FINANCIAL SERVICES INC.
September 26, 1978 - March 10, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 1969 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 5
Date: 10/26/1981
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 4/25/1969
Registered Representative ExaminationCurrent Firm
SHIELDS & COMPANY
CRD#: 11053 / SEC#: , 8-28036
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHIELDS, JOSEPH VINCENT JR | CHAIRMAN & MANAGING DIRECTOR | 700539 |
| SHIELDS, DAVID VINCENT | PRESIDENT & MANAGING DIRECTOR | 1072810 |
| CURCURU, PHILIP MICHAEL | CHIEF OPERATIONS OFFICER | |
| CURCURU, PHILIP MICHAEL | CFO | |
| MEYER, CHRISTOPHER FRANCIS | CHIEF COMPLIANCE OFFICER | 1075415 |
| SCARPA, RALPH JOSEPH | SECRETARY | 718855 |
| VANCLEVE, KEVIN PATRICK | MSRB PRINCIPAL | 1022686 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
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