Roger T. 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.
Roger Taylor Morrison was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1968. Roger had worked at 21 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 5, Series 000, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2023 - April 1, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
November 13, 2023 - April 1, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
January 23, 2009 - November 14, 2023
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - November 14, 2023
SECURITIES AMERICA, INC.
April 28, 2008 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
April 28, 2008 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
July 11, 2007 - April 29, 2008
FIRST WALL STREET CORP.
July 11, 2007 - April 29, 2008
FIRST WALL STREET CORP.
June 29, 2007 - July 12, 2007
WEDBUSH SECURITIES INC.
June 29, 2007 - July 12, 2007
WEDBUSH SECURITIES INC.
October 12, 2006 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
July 6, 2006 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
November 22, 2005 - July 19, 2006
RBC CAPITAL MARKETS, LLC
March 9, 2002 - July 19, 2006
RBC CAPITAL MARKETS, LLC
April 1, 1997 - March 9, 2002
SUTRO & CO. INCORPORATED
April 9, 1990 - March 27, 1997
UBS FINANCIAL SERVICES INC.
November 21, 1989 - April 4, 1990
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
November 11, 1988 - December 13, 1989
BOARDWALK CAPITAL CORPORATION
March 6, 1987 - March 30, 1989
WEST CONTINENTAL SECURITIES, INC.
April 13, 1983 - March 20, 1987
MORGAN STANLEY DW INC.
January 26, 1982 - March 15, 1983
SECURITIES WEST, INC.
February 12, 1979 - January 3, 1982
WHARTON FINANCIAL CORP.
January 18, 1978 - February 19, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
July 8, 1976 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
June 12, 1974 - August 7, 1976
CRUTTENDEN, GUST & MERHAB, INCORPORATED
November 1, 1968 - July 13, 1974
DEAN WITTER & CO. INCORPORATED
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 000
Date: 7/27/1964
General Securities Principal ExaminationSeries 1
Date: 7/27/1964
Registered Representative ExaminationSeries 00
Date: 8/12/1974
General Securities Principal ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
