Roy D Morris | Financial Professional | Phoenix, Arizona

Professional summary

Roy D Morris is a registered financial advisor currently at PFG ADVISORS located in Phoenix, Arizona and OSAIC WEALTH, INC. located in Phoenix, Arizona.

Roy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Roy has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

PHOCUS FINANCIAL POSITION: Financial Planner NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/01/2019 ADDRESS: 7600 N 16th St, Ste 100, Phoenix AZ 85020 DESCRIPTION: This is my default DBA company name. ADVISORY- PRIORITY FINANCIAL GROUP POSITION: Investment Advisory Representative NATURE: Advisory- Priority Financial Group INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 01/09/2023 ADDRESS: 3200 N Central Ave, Suite 200, Phoenix AZ 85012 DESCRIPTION: This is the RIA that I will be conducting fee-based advisory business. TRUE LIFE ADVISOR LTD POSITION: President NATURE: S-Corp - True Life Advisor Ltd INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2023 ADDRESS: 4706 W Cholla Bluff Dr, Marana AZ 85658 DESCRIPTION: This OBA is my S-Corp that will be used for payroll services and business expenses. At this time, there are no other sources of income for this OBA. MORRIS R D & J M FAMILY TRUST POSITION: Trustor/Trustee NATURE: Morris R D & J M Family Trust INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/03/2015 ADDRESS: 4706 W Cholla Bluff Dr, Marana AZ 85658 DESCRIPTION: This is our family trust and is the name on our personal accounts. Roy D Morris and Jenna M Morris are the trustees. WWW.ROYDMORRIS.COM POSITION: Owner of domain NATURE: Website Domain: www.RoyDMorris.com INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2019 ADDRESS: 7600 N 16th St, Ste 100, Phoenix AZ 85020 DESCRIPTION: At the moment, this website domain redirects to the page on www.PhocusFinancial.com that has my professional bio. DBA - Phocus Financial STORMAWAY LLC POSITION: Support and Admin NATURE: LLC established originally for conducting a side business that sells products through Amazon or Etsy. This is a project to help my wife with building some kind of business. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/04/2024 ADDRESS: 3101 N Central Ave, Ste 183, Phoenix AZ 85012 DESCRIPTION: Retail Trade. Selling products via online marketplaces.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy D Morris's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 9, 2023 - Present

PFG ADVISORS

Office #1: 7600 N.16th St., Suite 100, Phoenix, AZ 85020

RIA

CRD#: 173344

Phoenix, AZ

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 7600 N 16th Street Suite 100, Phoenix, AZ 85020

RIA

BD

CRD#: 23131

PHOENIX, AZ

Current

November 6, 2025 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 7333 E Doubletree Ranch Rd Ste 120, Scottsdale, AZ 85258

RIA

BD

CRD#: 20804

Scottsdale, AZ

Past

January 9, 2023 - June 14, 2024

SECURITIES AMERICA, INC.

BD

CRD#: 10205

PHOENIX, AZ

Past

May 3, 2010 - January 18, 2023

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

MESA, AZ

Past

March 2, 2010 - January 18, 2023

EQUITABLE ADVISORS, LLC

BD

CRD#: 6627

MESA, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PA

PFG ADVISORS

CRD#: 173344 / SEC#: 801-80797

RIA

Registered Investment Advisory firm - (12/1/2014 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Arizona
(1/11/2023)

RR

Arizona
(6/14/2024)

RR

Arkansas
(6/14/2024)

RR

California
(6/14/2024)

RR

Colorado
(6/14/2024)

RR

Florida
(6/14/2024)

RR

Michigan
(6/14/2024)

RR

Oklahoma
(6/14/2024)

RR

Oregon
(6/14/2024)

RR

Pennsylvania
(6/14/2024)

IAR

Texas
(1/9/2023)

RR

Texas
(6/14/2024)

RR

Washington
(3/11/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 4/5/2010

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 3/1/2010

General Securities Representative Examination

SRO Registrations

RR

FINRA

Current Firm

PA

PFG ADVISORS

CRD#: 173344 / SEC#: 801-80797

RIA

Registered Investment Advisory firm - (12/1/2014 Approved)

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Contact information

Main Address

3200 N. Central Ave Suite #200, Phoenix, AZ 85012

Mailing Address

Phone number

(800) 405-8850

Established

Firm type

Fiscal year end

# of Employees

119

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE AS OF NOVEMBER 10 2025 (11/10/2025)

WRAP FEE BROCHURE (11/10/2025)

Regulatory assets under management

Total Number of Accounts	13,550
AUM (Assets Under Management)	$ 3,083,491,501

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.

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Advisor Monitoring

Firm Stability Insights

Roy D. Morris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy D Morris's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SECURITIES AMERICA, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

PFG ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 4/5/2010

SIE

Date: 10/1/2018

Series 7

Date: 3/1/2010

FINRA

Current Firm

PFG ADVISORS

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PFG ADVISORS

TRUST BUT VERIFY

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