James C. Morrison
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.
James Carleton Morrison JR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 6 firms and has passed the Series 63, PC, Series 1 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
April 26, 2001 - April 1, 2009
GILFORD SECURITIES INCORPORATED
August 2, 1979 - April 25, 2001
PERSHING LLC
May 19, 1977 - April 6, 1979
CREDIT SUISSE SECURITIES (USA) LLC
April 14, 1976 - June 13, 1977
JOHNSON, LANE, SPACE, SMITH & CO., INC.
September 25, 1970 - April 20, 1976
CITIGROUP GLOBAL MARKETS INC.
October 2, 1969 - August 9, 1972
AXELROD & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 8/22/1977
AMEX Put and Call ExamSeries 1
Date: 6/19/1958
Registered Representative ExaminationSeries 40
Date: 2/26/1968
Registered Principal ExaminationCurrent Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
Red Flags
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