Ryan A. Morfin
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.
Ryan Adrian Morfin was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2002. Ryan had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 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
October 21, 2013 - January 25, 2022
CABOT LODGE SECURITIES LLC
February 1, 2013 - October 10, 2013
BRADLEY WOODS & CO. LTD.
April 28, 2003 - April 11, 2007
MORGAN STANLEY & CO. LLC
October 22, 2002 - April 25, 2003
WORLD GROUP SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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