Lawrence L. Morse
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.
Lawrence Lewis Morse was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1970. Lawrence had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 000 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
December 2, 2011 - June 23, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 17, 2011 - June 23, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 30, 2006 - January 7, 2011
EDWARD JONES
October 27, 2006 - January 7, 2011
EDWARD JONES
July 27, 2005 - October 31, 2006
A. G. EDWARDS & SONS, INC.
May 3, 1976 - August 8, 1977
DEAN WITTER & CO. INCORPORATED
January 9, 1973 - October 31, 2006
A. G. EDWARDS & SONS, INC.
September 26, 1972 - May 26, 1976
H.O. PEET & CO., INC.
February 18, 1970 - September 22, 1972
VAN HORNE INVESTMENTS, INC.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/10/1978
AMEX Put and Call ExamSeries 000
Date: 1/9/1973
General Securities Principal ExaminationSeries 1
Date: 2/11/1970
Registered Representative 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.
