Scott S. 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.
Scott Steven Morrison, who also goes by Scott S Morrison, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2004. Scott had worked at 9 firms and has passed the Series 66, SIE, Series 34, Series 3, Series 55, Series 31, Series 7, Series 30, Series 53, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2015 - February 10, 2016
KOVACK SECURITIES INC.
February 28, 2013 - August 10, 2015
TRADESTATION SECURITIES, INC.
May 17, 2011 - December 20, 2012
ALLY INVEST SECURITIES LLC
August 27, 2008 - May 11, 2011
SCOTTRADE, INC.
March 23, 2007 - September 19, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
May 2, 2006 - March 26, 2007
METROPOLITAN LIFE INSURANCE COMPANY
May 2, 2006 - March 26, 2007
MSI FINANCIAL SERVICES, INC.
May 23, 2005 - November 9, 2005
RAYMOND JAMES & ASSOCIATES, INC.
May 17, 2005 - November 9, 2005
RAYMOND JAMES & ASSOCIATES, INC.
November 18, 2004 - April 18, 2005
MORGAN STANLEY DW INC.
September 9, 2004 - April 18, 2005
MORGAN STANLEY DW 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
Exams
Series 55
Date: 3/15/2007
Limited Representative-Equity Trader ExamCurrent Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
