Sanford 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.
Sanford Page Morris was a registered financial professional .
Sanford is a previously registered financial professional and started their career in finance in 1968. Sanford had worked at 12 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 1994 - May 22, 2003
ACAP FINANCIAL INC.
July 16, 1993 - February 25, 1994
R.K. STEELE
May 26, 1988 - July 7, 1993
R. A. JOHNSON AND COMPANY, INC.
March 20, 1985 - May 27, 1988
WARREN & BROWN ASSOCIATES, INC.
January 17, 1984 - April 8, 1985
MERLIN EQUITIES INC.
April 6, 1982 - January 27, 1984
FIRST EQUITIES CORP.
January 7, 1981 - March 31, 1982
AMERICAN WESTERN SECURITIES, INC.
August 7, 1980 - January 26, 1981
CONTINENTAL AMERICAN SECURITIES, INC.
August 1, 1973 - July 23, 1980
EDWARD BROWN SECURITIES, INC.
April 2, 1973 - August 25, 1973
THORNTON D MORRIS & CO
November 22, 1968 - April 16, 1973
MOUNTAIN STATES SECURITIES, INC.
January 25, 1968 - June 30, 1971
MAY & CO., 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: 9/9/1964
Registered Representative ExaminationCurrent Firm
ACAP FINANCIAL INC.
CRD#: 7731 / SEC#: , 8-22821
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FERGUSON, KIRK LYNN | PRESIDENT, CEO, CFO, CCO, CO | 1307741 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
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.
