Aimee 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.
Aimee Morrison, who also goes by Aimee Mcalexander, was a registered financial professional .
Aimee is a previously registered financial professional and started their career in finance in 2008. Aimee had worked at 13 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 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
February 11, 2025 - October 2, 2025
LPL FINANCIAL LLC
December 2, 2022 - November 11, 2024
MORGAN STANLEY
September 19, 2022 - October 31, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
September 19, 2022 - October 31, 2022
SORRENTO PACIFIC FINANCIAL, LLC
September 19, 2022 - October 31, 2022
SCF SECURITIES, INC.
September 19, 2022 - October 31, 2022
NEXT FINANCIAL GROUP, INC.
September 19, 2022 - October 31, 2022
CADARET, GRANT & CO., INC.
March 8, 2022 - October 31, 2022
CUSO FINANCIAL SERVICES, L.P.
March 7, 2022 - October 31, 2022
CUSO FINANCIAL SERVICES, L.P.
August 26, 2021 - March 9, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 25, 2021 - March 9, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 25, 2019 - October 21, 2020
VALMARK SECURITIES, INC.
October 1, 2012 - August 15, 2017
J.P. MORGAN SECURITIES LLC
October 1, 2012 - August 15, 2017
J.P. MORGAN SECURITIES LLC
March 20, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 14, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 25, 2008 - February 6, 2012
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
