Donald M. 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.
Donald Mannon Morris SR, who also goes by Donald Mannon Morris, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1969. Donald had worked at 13 firms and has passed the Series 63, SIE, PC 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
October 26, 2012 - October 31, 2017
VOYA FINANCIAL ADVISORS, INC.
October 1, 2012 - October 31, 2017
VOYA FINANCIAL ADVISORS, INC.
January 1, 2008 - October 2, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - October 2, 2012
WELLS FARGO CLEARING SERVICES, LLC
May 6, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
December 4, 1996 - January 3, 2008
A. G. EDWARDS & SONS, INC.
January 26, 1989 - December 9, 1996
J.P. MORGAN SECURITIES LLC
February 1, 1988 - January 21, 1989
MARSHALL & CO. SECURITIES, INC.
February 12, 1985 - January 30, 1988
CIBC WORLD MARKETS CORP.
February 22, 1982 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
February 1, 1982 - January 24, 1985
LEHMAN BROTHERS INC.
September 30, 1980 - January 18, 1982
MORGAN STANLEY DW INC.
March 27, 1975 - August 17, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
October 11, 1974 - April 17, 1975
LEHMAN BROTHERS INCORPORATED
April 22, 1971 - November 2, 1974
KIDDER, PEABODY & CO., INCORPORATED
February 11, 1969 - May 14, 1971
WHITE, WELD & CO. INCORPORATED
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
PC
Date: 11/5/1982
AMEX Put and Call ExamSeries 1
Date: 2/7/1969
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
