TM
Todd J. Morris
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES
PHOENIX, AZ 85051
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CRD#: 4251773
TM
Professional summary
Todd Joseph Morris is a registered financial advisor currently at THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC located in Phoenix, Arizona and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Bloomington, Minnesota.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Todd has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.) THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC - INVESTMENT ADVISOR REPRESENTATIVE - REGISTERED INVESTMENT ADVISOR - BLOOMINGTON, MN - SINCE 01/2016 - INVESTMENT RELATED 2.) TAX PREP SERVICES - TAX PREPARATION ASSISTANT - TAX PREPARATION/ACCOUNTING/BOOKKEEPING/CPA - COTTAGE GROVE, MN - SINCE 02/2012 - NOT INVESTMENT RELATED 3.) MORRIS FINANCIAL SERVICES - PRESIDENT - S CORP - BLOOMINGTON, MN - SINCE 07/2005 - NOT INVESTMENT RELATED 4.) THE CAPITAL ADVISORY GROUP, LLC - 16.67% CO-OWNER WITH BRETT MACHTIG AND ROGER ANDERSON AND USE THE TITLE FINANICAL ADVISOR AND MANAGING PARTNER - LLC - BLOOMINGTON, MN - SINCE 12/2017 - NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Todd Joseph Morris's 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®
NoneExperience
Current
January 4, 2016 - Present
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC
Office #1: 10000 N 31st Ave Suite D216, Phoenix, AZ 85051RIA
CRD#: 140551
PHOENIX, AZ
Current
July 7, 2016 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 5270 W 84th St Ste 310, Bloomington, MN 55437RIA
BD
CRD#: 20804
Bloomington, MN
Past
August 23, 2006 - July 25, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
COTTAGE GROVE, MN
Past
July 21, 2005 - July 25, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
COTTAGE GROVE, MN
Past
August 16, 2000 - July 8, 2005
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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".
TC
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC
401K CAPITAL ADVISORY | THE CAPITAL ADVISORY GROUP, LLC | THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC | MACHTIG ADVISORY SERVICES, LLC | MACHTIG ADVISORY SERVICES | MACHTIG & ASSOCIATES, LLC. | IPSWICH BAY ADVISORS
CRD#: 140551 / SEC#: 801-69464
RIA
Registered Investment Advisory firm - (8/25/2008 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(7/7/2016)
RR
Arizona(8/22/2025)
RR
Arkansas(1/30/2025)
RR
California(7/7/2016)
RR
Florida(2/15/2023)
RR
Georgia(8/9/2021)
RR
Michigan(1/30/2025)
IAR
Minnesota(1/4/2016)
RR
Minnesota(7/7/2016)
RR
Missouri(2/27/2017)
RR
Nebraska(6/7/2022)
RR
South Carolina(11/13/2023)
RR
Tennessee(3/9/2022)
RR
Texas(11/8/2023)
RR
Washington(11/17/2021)
RR
Wisconsin(7/7/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TC
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC
401K CAPITAL ADVISORY | THE CAPITAL ADVISORY GROUP, LLC | THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC | MACHTIG ADVISORY SERVICES, LLC | MACHTIG ADVISORY SERVICES | MACHTIG & ASSOCIATES, LLC. | IPSWICH BAY ADVISORS
CRD#: 140551 / SEC#: 801-69464
RIA
Registered Investment Advisory firm - (8/25/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10000 N 31st Ave Suite D216, Phoenix, AZ 85051
Mailing Address
Phone number
(952) 831-8243
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,424 |
| AUM (Assets Under Management) | $ 402,826,658 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
