Christopher M. Morris
Professional summary
Christopher Michael Morris, who also goes by Chris Morris, is a registered financial professional currently at PERSHING LLC located in New York, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Michael Morris's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 18, 2016 - Present
PERSHING LLC
Office #1: 240 Greenwich Street, New York, NY 10286April 7, 2014 - April 18, 2014
J.P. MORGAN SECURITIES LLC
September 19, 2013 - January 22, 2016
J.P. MORGAN CLEARING CORP.
March 17, 2006 - March 31, 2006
J.P. MORGAN SECURITIES LLC
March 17, 2006 - December 31, 2008
J.P. MORGAN SECURITIES LLC
March 17, 2006 - September 17, 2012
J.P. MORGAN CLEARING CORP.
September 23, 2005 - February 6, 2006
TD AMERITRADE, INC.
April 13, 2000 - February 6, 2006
TD AMERITRADE, 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
(2/18/2016)
(6/21/2024)
Exams
Series 52TO
Date: 7/31/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX Exchange LLC
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
Red Flags
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