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GM

Gaspar J. Morell

Some features on this profile are disabled
CRD#: 502473
GM

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.

Gaspar John Morell, who also goes by Gasper John Morell Jr, Gasper John Morell Jr., Jay Morell, was a registered financial professional .

Gaspar is a previously registered financial professional and started their career in finance in 1978. Gaspar had worked at 11 firms and has passed the Series 63, Series 7, Series 52, Series 1 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gasper John Morell Jr | Gasper John Morell Jr. | Jay Morell

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 7, 2007 - September 5, 2012

RICE FINANCIAL PRODUCTS COMPANY

BD
CRD#: 21606
HOBOKEN, NJ
Past

April 9, 2007 - October 31, 2007

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY
Past

June 13, 2006 - April 4, 2007

M. R. BEAL & COMPANY

BD
CRD#: 22088
NEW YORK, NY
Past

March 10, 2006 - June 20, 2006

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY
Past

December 13, 2005 - December 21, 2005

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
NEW YORK, NY
Past

September 3, 2002 - October 20, 2005

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

April 5, 2002 - September 5, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

October 1, 1999 - August 30, 2000

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 14, 1998 - April 5, 1999

JACKSON SECURITIES LLC

BD
CRD#: 19897
ATLANTA, GA
Past

February 2, 1998 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

April 24, 1995 - February 2, 1998

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 19002
CHARLOTTE, NC
Past

October 20, 1982 - March 27, 1995

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 28, 1978 - November 1, 1982

CHAPDELAINE TULLETT PREBON, LLC

BD
CRD#: 7017

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/1982
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 2/5/1979
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 1/16/1979
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/6/1998
Municipal Securities Principal Examination

Current Firm

RF
RICE FINANCIAL PRODUCTS COMPANY
APEX PRYOR SECURITIES, A DIVISION OF RICE FINANCIAL PRODUCTS CO | RJR SECURITIES, INC. | RICE SECURITIES, LLC | RICE FINANCIAL PRODUCTS COMPANY | APEX SECURITIES, INC.

CRD#: 21606 / SEC#: , 8-39085

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
4235 Hillsboro Pike Suite 300, Nashville, TN 37215
Mailing Address
3 Columbus Circle 15th Fl, New York, NY, 10019
Phone number
(212) 908-9200
Established
Delaware since 06/15/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RICE DERIVATIVE HOLDINGS, L.P.SHAREHOLDER
DEGIULO, THOMAS EDWARDROSFP2351167
NAZZARENO, KARENFINOP5813844
RICE, JAMES DONALD JRCHAIRMAN, CEO, CCO1414533

Disclosures

Regulatory Event6

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

RICE FINANCIAL PRODUCTS COMPANY

CRD#: 21606

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