Larry P. 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.
Larry Pinkley Morris was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1968. Larry had worked at 6 firms and has passed the Series 65, Series 63, Series 5, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2000 - May 7, 2024
EVERGREEN CAPITAL MANAGEMENT LLC
December 13, 1991 - October 3, 1994
CIBC WORLD MARKETS CORP.
August 30, 1990 - December 20, 1991
CITIGROUP GLOBAL MARKETS INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
May 16, 1973 - August 16, 1990
MORGAN STANLEY DW INC.
November 1, 1968 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
Primary Firm SEC Registration
EVERGREEN CAPITAL MANAGEMENT LLC
CRD#: 104931 / SEC#: 801-20248
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: 12/11/1982
Interest Rate Options ExaminationPC
Date: 2/6/1979
AMEX Put and Call ExamSeries 1
Date: 9/28/1967
Registered Representative ExaminationSeries 40
Date: 6/14/1977
Registered Principal ExaminationSeries 12
Date: 5/10/1977
NYSE Branch Manager ExaminationCurrent Firm
EVERGREEN CAPITAL MANAGEMENT LLC
CRD#: 104931 / SEC#: 801-20248
Contact information
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,147 |
| AUM (Assets Under Management) | $ 5,217,923,207 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/28/2024 | ||
| 12/21/2023 |
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.
