Craig R. 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.
Craig Robert Morrison was a registered financial advisor .
Craig is a previously registered financial advisor and started their career in finance in 2002. Craig had worked at 5 firms and has passed the Series 63, Series 65 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2012 - December 13, 2012
CFD INVESTMENTS, INC.
December 21, 2010 - October 10, 2012
VOYA FINANCIAL ADVISORS, INC.
December 17, 2010 - October 10, 2012
VOYA FINANCIAL ADVISORS, INC.
April 4, 2008 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
April 6, 2006 - August 16, 2007
VOYA FINANCIAL PARTNERS, LLC
March 27, 2006 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
April 6, 2004 - February 23, 2006
VALIC FINANCIAL ADVISORS, INC.
February 14, 2002 - February 23, 2006
VALIC FINANCIAL ADVISORS, INC.
January 22, 2002 - February 19, 2002
SIGNATURE ESTATE SECURITIES, LLC
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
Current Firm
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 1 |
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.
