Dennis J. Morrison
Professional summary
Dennis Joe Morrison, who also goes by Dennis Joe Morrison Jr., is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Westchester, Illinois.
Dennis is registered as a RR (Registered Representative) and started their career in finance in 2006. Dennis has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dennis Joe Morrison's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 17, 2013 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 4 Westbrook Corporate Center-suite 240, Westchester, IL 60154December 17, 2013 - November 23, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
January 18, 2013 - April 24, 2013
FTB ADVISORS, INC.
January 14, 2013 - April 24, 2013
FIRST HORIZON ADVISORS, INC.
November 4, 2010 - November 18, 2011
MORGAN STANLEY
October 4, 2010 - November 18, 2011
MORGAN STANLEY
August 29, 2008 - November 13, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
October 16, 2006 - September 20, 2007
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/17/2013)
(12/19/2013)
(1/2/2014)
(12/19/2013)
Exams
FINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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