John P. Morris

SERAPHIM CAPITAL MANAGEMENT

Boulder, CO

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CRD#: 340494

Professional summary

John Patrick Morris, who also goes by John Morris, is a registered financial advisor currently at SERAPHIM CAPITAL MANAGEMENT, LLC located in Boulder, Colorado.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. John has worked at 14 firms and has passed the Series 65, Series 63, Series 82TO, Series 55, Series 15, Series 5, Series 7, Series 1, Series 4, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Morris

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.

Mr. Morris is Senior Vice President and Regional Manager for The Gottesman Company, a business broker facilitating mid-market merger and acquisition (M&A) activity. Gottesman is not a registered broker-dealer or other financial industry firm. The relationship began in 2013 and evolved in 2015 into present status and generally does not devote time to this endeavor during securities trading hours. __ Starting 2018 Mr. John Morris has been engaged in an outside business activity as a consultant at Dynamic Alternative Finance LLC. The organization is a business loan and financing company and has no owner affiliation with Young America Capital LLC. The firm's offices are located at 4770 Baseline Rd Boulder Co 80304. Duties include consulting and advising clients investment strategies. He will receive and compensation from the company for duties preformed. Mr. Morris will dedicate an estimated 4 hours per month to these endeavors.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Patrick Morris's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 15, 2017 - Present

SERAPHIM CAPITAL MANAGEMENT, LLC

RIA

CRD#: 170976

Boulder, CO

Past

March 24, 2020 - June 18, 2024

YOUNG AMERICA CAPITAL, LLC

CRD#: 150443

MAMARONECK, NY

Past

August 22, 2014 - December 31, 2016

SERAPHIM CAPITAL MANAGEMENT, LLC

RIA

CRD#: 170976

BOULDER, CO

Past

June 18, 2008 - October 13, 2010

KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC

CRD#: 126935

NEW YORK, NY

Past

July 25, 2007 - June 9, 2008

CHURCHILL CAPITAL USA, INC.

CRD#: 143278

NEW YORK, NY

Past

July 5, 2000 - December 7, 2006

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

NEW YORK, NY

Past

October 21, 1996 - July 3, 2000

ASIEL & CO. LLC

CRD#: 1112

NEW YORK, NY

Past

May 10, 1994 - September 6, 1996

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

Past

February 16, 1994 - April 19, 1994

BARCLAYS DE ZOETE WEDD INCORPORATED

CRD#: 16080

NEW YORK, NY

Past

December 21, 1992 - January 10, 1994

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

Past

March 28, 1990 - January 1, 1993

OSCAR GRUSS & SON INCORPORATED

CRD#: 2091

NEW YORK, NY

Past

June 23, 1989 - April 4, 1990

PHOENIX CAPITAL MARKETS, INC.

CRD#: 22909

Past

August 7, 1987 - May 3, 1989

SCHRODER & CO. INC.

CRD#: 6112

Past

March 29, 1977 - August 14, 1987

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

January 28, 1976 - April 12, 1977

TODD AND COMPANY, INC.

CRD#: 5651

Past

June 20, 1973 - September 24, 1975

ALPHA CAPITAL VENTURES CORP.

CRD#: 6033

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SERAPHIM CAPITAL MANAGEMENT, LLC

CRD#: 170976 / SEC#: 801-120902

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Colorado

Registered Investment Advisory firm - (4/28/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(2/15/2017)

IAR

New Jersey
(2/16/2017)

IAR

New York
(7/31/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/22/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/5/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 55

Date: 2/27/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 15

Date: 5/1/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 11/18/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 4/16/1977

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 6/18/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/2/2007

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/18/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 5/27/1983

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SERAPHIM CAPITAL MANAGEMENT, LLC

CRD#: 170976 / SEC#: 801-120902

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Colorado

Registered Investment Advisory firm - (4/28/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

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Contact information

Main Address

Blauvelt, NY

Mailing Address

Phone number

(720) 406-7790

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A SERAPHIM AND PART 2B MORRIS LAM PETRIE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	179
AUM (Assets Under Management)	$ 53,000,000

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

John P. Morris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Patrick Morris's CRS (Customer Relationship Summary).

Certified licenses

Experience

YOUNG AMERICA CAPITAL, LLC

SERAPHIM CAPITAL MANAGEMENT, LLC

KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC

CHURCHILL CAPITAL USA, INC.

TRADITION SECURITIES AND DERIVATIVES LLC

ASIEL & CO. LLC

LABRANCHE FINANCIAL SERVICES, LLC

BARCLAYS DE ZOETE WEDD INCORPORATED

LABRANCHE FINANCIAL SERVICES, LLC

OSCAR GRUSS & SON INCORPORATED

PHOENIX CAPITAL MARKETS, INC.

SCHRODER & CO. INC.

THOMSON MCKINNON SECURITIES INC.

TODD AND COMPANY, INC.

ALPHA CAPITAL VENTURES CORP.

Primary Firm SEC Registration

SERAPHIM CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2014

Series 63

Date: 3/5/1981

Series 82TO

Date: 1/2/2023

Series 55

Date: 2/27/2001

Series 15

Date: 5/1/1984

Series 5

Date: 11/18/1981

Series 7

Date: 4/16/1977

Series 1

Date: 6/18/1973

Series 4

Date: 5/2/2007

Series 24

Date: 4/18/2006

Series 8

Date: 5/27/1983

Current Firm

SERAPHIM CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SERAPHIM CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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