Paul W. 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.
Paul William Morris was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1969. Paul had worked at 7 firms and has passed the Series 63, Series 6, Series 1, Series 27, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 1996 - May 10, 2000
CAPITAL RESEARCH BROKERAGE SERVICES, LLC
April 10, 1996 - September 10, 1996
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
May 4, 1983 - March 27, 1996
MORRIS GROUP, INC.
December 27, 1979 - May 16, 1983
SYMON GROUP, LTD.
November 22, 1977 - January 21, 1980
LEHMAN BROTHERS INC.
December 21, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 19, 1976 - December 21, 1976
SHEARSON HAYDEN STONE INC.
March 24, 1969 - November 19, 1976
SHEARSON HAYDEN STONE 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: 3/11/1969
Registered Representative ExaminationSeries 40
Date: 12/14/1976
Registered Principal ExaminationCurrent Firm
CAPITAL RESEARCH BROKERAGE SERVICES, LLC
CRD#: 40823 / SEC#: , 8-49213
Contact information
FINRA licenses (3 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ODELL, JOHN PATRICK | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 1908737 |
Red Flags
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