MM
Michael C. Morris
GUGGENHEIM SECURITIES
RICHMOND, VA 23219
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CRD#: 4808084
MM
Professional summary
Michael C. Morris is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in Richmond, Virginia.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 4 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Michael C. 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
September 10, 2013 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 919 East Main Street, Richmond, VA 23219BD
CRD#: 40638
RICHMOND, VA
Past
May 25, 2010 - September 11, 2013
DAVENPORT & COMPANY LLC
BD
CRD#: 1588
RICHMOND, VA
Past
May 26, 2005 - April 15, 2010
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
September 17, 2004 - May 23, 2005
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
California(9/10/2013)
RR
Colorado(9/10/2013)
RR
Connecticut(9/10/2013)
RR
Delaware(9/10/2013)
RR
Florida(9/10/2013)
RR
Georgia(9/10/2013)
RR
Illinois(9/10/2013)
RR
Iowa(9/10/2013)
RR
Kansas(9/10/2013)
RR
Maryland(9/10/2013)
RR
Massachusetts(9/10/2013)
RR
Minnesota(9/10/2013)
RR
New Jersey(9/10/2013)
RR
New York(9/10/2013)
RR
Ohio(9/10/2013)
RR
Pennsylvania(9/10/2013)
RR
Rhode Island(9/10/2013)
RR
Texas(9/10/2013)
RR
Virginia(9/10/2013)
RR
Washington(9/10/2013)
RR
Wisconsin(9/10/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
GS
GUGGENHEIM SECURITIES, LLC
GUGGENHEIM CAPITAL MARKETS, LLC | LINKS SECURITIES LLC | LINKS SECURITIES INC. | GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
330 Madison Avenue, New York, NY 10017
Mailing Address
330 Madison Avenue 8th Floor, New York, NY 10017
Phone number
(212) 518-9200
Established
Delaware since 01/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
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.
Company Information
GUGGENHEIM SECURITIES, LLC
CRD#: 40638Richmond, VA 23219TRUST BUT VERIFY
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