James P. 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.
James Powell Morrison, who also goes by Jim Morrison, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 18 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 52 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
April 25, 2022 - May 31, 2022
IMPERIAL FUND ASSET MANAGEMENT LLC
September 22, 2021 - June 4, 2022
IF SECURITIES LLC
August 9, 2018 - November 12, 2018
CALTON & ASSOCIATES, INC.
August 19, 2015 - August 31, 2016
SIMMONS FIRST INVESTMENT GROUP, INC.
March 17, 2014 - August 18, 2015
WORLD EQUITY GROUP, INC.
November 20, 2013 - March 17, 2014
INTERNATIONAL ASSETS ADVISORY, LLC
May 20, 2011 - November 21, 2013
FURTHER LANE SECURITIES, L.P.
September 15, 2010 - December 31, 2010
WOODSTOCK FINANCIAL GROUP, INC.
March 27, 2006 - August 26, 2010
APS FINANCIAL CORPORATION
August 15, 2005 - March 24, 2006
CREWS & ASSOCIATES, INC.
July 27, 2004 - March 1, 2005
BOK FINANCIAL SECURITIES, INC.
April 7, 1998 - July 28, 2004
STIFEL INDEPENDENT ADVISORS, LLC
May 25, 1994 - April 7, 1998
AEGON USA SECURITIES INC.
July 12, 1993 - June 20, 1994
HENDERSON SECURITIES, INC.
May 16, 1991 - August 7, 1991
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - February 24, 1990
SOUTHTRUST SECURITIES, LLC
June 9, 1988 - November 8, 1989
FIRSTMONEY SECURITIES CORPORATION
April 19, 1983 - May 23, 1988
UNITED CAPITAL CORPORATION
Primary Firm SEC Registration
IMPERIAL FUND ASSET MANAGEMENT LLC
CRD#: 317525 / SEC#: 801-123060
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
IMPERIAL FUND ASSET MANAGEMENT LLC
CRD#: 317525 / SEC#: 801-123060
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 42 |
| AUM (Assets Under Management) | $ 7,527,806,748 |
Red Flags
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