John B. Morris
Professional summary
John Baker Morris was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, John had worked at 12 firms, which includes CENTEX SECURITIES INCORPORATED, GLOBAL CAPITAL SECURITIES CORPORATION, DEL MAR SECURITIES INC., R.B. MARICH INC., FIRST UNITED SECURITIES GROUP OF CALIFORNIA, BLINDER ROBINSON & CO. INC., AMERICAN FRONTEER FINANCIAL CORPORATION, MORRIS BRIDGER SECURITIES INC, DOUGLASS & CO. INCORPORATED, BACHE & CO INCORPORATED, M. H. DECKARD & CO. INC., INVESCO DISTRIBUTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 1995 - October 21, 1996
CENTEX SECURITIES, INCORPORATED
October 18, 1991 - May 4, 1995
GLOBAL CAPITAL SECURITIES CORPORATION
November 2, 1990 - October 18, 1991
DEL MAR SECURITIES, INC.
August 31, 1987 - October 18, 1990
R.B. MARICH, INC.
June 27, 1986 - September 1, 1987
FIRST UNITED SECURITIES GROUP OF CALIFORNIA
March 9, 1985 - June 24, 1986
BLINDER, ROBINSON & CO., INC.
April 1, 1982 - March 11, 1985
AMERICAN FRONTEER FINANCIAL CORPORATION
October 6, 1981 - January 4, 1983
MORRIS BRIDGER SECURITIES, INC
June 26, 1975 - June 17, 1981
AMERICAN FRONTEER FINANCIAL CORPORATION
February 5, 1975 - July 27, 1975
DOUGLASS & CO. INCORPORATED
August 23, 1972 - November 23, 1975
BACHE & CO INCORPORATED
July 14, 1971 - May 28, 1972
M. H. DECKARD & CO., INC.
September 4, 1969 - August 23, 1971
INVESCO DISTRIBUTORS, 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 1
Date: 8/27/1969
Registered Representative ExaminationSeries 40
Date: 10/28/1977
Registered Principal ExaminationCurrent Firm
CENTEX SECURITIES, INCORPORATED
CRD#: 18493 / SEC#: , 8-43569
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BIDDICK, BRUCE ALAN | CHIEF EXECUTIVE OFFICER | 1124697 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 16 |
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.
