James J. Morrison

AE WEALTH MANAGEMENT

Coldwater, MI

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CRD#: 340742

Professional summary

James John Morrison is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Coldwater, Michigan.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. James has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) JAMES J. MORRISON & ASSOCIATES, INC. DBA MORRISON FINANCIAL GROUP; YES INVESTMENT RELATED; 163 EAST CHICAGO ROAD, COLDWATER, MI 49036; INSURANCE SALES; VICE PRESIDENT; START DATE 05/1972; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James John Morrison's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 14, 2017 - Present

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Coldwater, MI

Past

May 10, 2013 - April 18, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

COLDWATER, MI

Past

May 2, 2013 - April 18, 2017

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

MCDONOUGH, GA

Past

December 6, 2005 - May 1, 2013

SPC

RIA

CRD#: 110692

COLDWATER, MI

Past

December 1, 2005 - May 1, 2013

SIGMA FINANCIAL CORPORATION

CRD#: 14303

COLDWATER, MI

Past

February 28, 2001 - December 7, 2005

USALLIANZ SECURITIES, INC.

RIA

CRD#: 40875

COLDWATER, MI

Past

November 3, 2000 - December 7, 2005

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

October 1, 1997 - November 3, 2000

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

April 18, 1997 - October 1, 1997

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Past

September 23, 1983 - April 25, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

Past

July 14, 1983 - September 8, 1983

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

Past

February 15, 1982 - April 25, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

June 20, 1973 - June 28, 1983

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(4/14/2017)

IAR

Texas
(7/12/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/25/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/11/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 6/14/1973

Registered Representative Examination

Current Firm

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

Phone number

(866) 363-9595

Established

Firm type

Fiscal year end

# of Employees

602

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (10/1/2025)

FORM ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	111,059
AUM (Assets Under Management)	$ 37,525,706,084

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.

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Advisor Monitoring

Firm Stability Insights

James J. Morrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James John Morrison's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

G.F. INVESTMENT SERVICES, LLC

SPC

SIGMA FINANCIAL CORPORATION

USALLIANZ SECURITIES, INC.

USALLIANZ SECURITIES, INC.

OSAIC FS, INC.

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

PRUCO SECURITIES, LLC.

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

PRUCO SECURITIES, LLC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/2001

Series 63

Date: 10/11/1982

SIE

Date: 4/18/2017

Series 1

Date: 6/14/1973

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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