Charmaine Donna Morton
Professional Summary
Charmaine Donna Morton is a registered financial advisor currently at SPIDERROCK EXS, LLC located in Chicago, Illinois. Charmaine is registered as a RR (Registered Representative) and started their career in finance in 2011. Charmaine has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 14 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
15 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
SPIDERROCK EXS, LLC
Contact Information
Main Address
300 S. Riverside Plaza Suite 2350, Chicago, IL 60606Mailing Address
300 S. Riverside Plaza Suite 2350, Chicago, IL 60606Phone Number
(312) 256-9605Established
Illinois since 07/30/2008Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (25 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(12/5/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Charmaine Donna Morton's CRS (Customer Relationship Summary).
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