Raymond S. 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.
Raymond Sylvanus Morris, who also goes by Ray Morris, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1969. Raymond had worked at 4 firms and has passed the Series 63, SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - November 4, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 29, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 22, 1975 - November 4, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 24, 1975 - August 22, 1975
INVESTMENT MANAGEMENT & RESEARCH INC
May 5, 1969 - October 29, 1975
FINANCIAL SERVICE CORPORATION OF AMERICA
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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: 8/21/1968
Registered Representative ExaminationSeries 00
Date: 8/20/1975
General Securities Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
