FM
Frank K. Morrison
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CRD#: 340718
FM
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.
Frank Keith Morrison was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1973. Frank had worked at 4 firms and has passed the Series 63, SIE, Series 5, PC and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
October 11, 1994 - April 15, 2015
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
SAN ANTONIO, TX
Past
September 2, 1994 - September 22, 1994
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
Past
December 16, 1987 - September 13, 1994
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
March 27, 1975 - February 18, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
August 17, 1973 - January 11, 1975
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BD
CRD#: 640
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/5/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 8/31/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 8/11/1973
Registered Representative ExaminationCurrent Firm
IP
INVESTMENT PROFESSIONALS, INC.
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CRD#: 30184 / SEC#: 801-67704, 8-44786
BD
Terminated by SEC on 12/01/2018
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Contact information
Main Address
16414 San Pedro Avenue Suite 300, San Antonio, TX 78232
Mailing Address
Phone number
Established
Texas since 03/16/1992
Firm type
Corporation
Fiscal year end
December
# of Employees
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 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.
