David M. Morie
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.
David Michael Morie, who also goes by David M Morie, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2006. David had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2018 - September 19, 2020
TD AMERITRADE, INC.
August 2, 2017 - February 26, 2018
SCOTTRADE, INC.
February 23, 2010 - July 21, 2017
CUTTER & COMPANY, INC.
February 5, 2008 - September 5, 2008
E*TRADE SECURITIES LLC
April 9, 2007 - December 17, 2007
CHASE INVESTMENT SERVICES CORP.
March 28, 2007 - December 17, 2007
CHASE INVESTMENT SERVICES CORP.
August 4, 2006 - January 26, 2007
EDWARD JONES
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
