JM
James J. Morrison
CWS INVESTMENTS
Orange, CA
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CRD#: 6757898
JM
Professional summary
James J Morrison Mr. is a registered financial advisor currently at CWS INVESTMENTS located in Orange, California.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. James has worked at 1 firm .
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view James J Morrison Mr.'s 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®
NoneExperience
Current
April 1, 2025 - Present
CWS INVESTMENTS
RIA
BD
CRD#: 23551
Orange, CA
Past
February 16, 2017 - February 26, 2025
CWS INVESTMENTS
RIA
CRD#: 23551
Orange, CA
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.Highlighted states indicate IAR registrations
IAR
California(4/1/2025)
Exams
Current Firm
CI
CWS INVESTMENTS
CLAYTON, WILLIAMS & SHERWOOD INVESTMENTS | CWS INVESTMENTS
CRD#: 23551 / SEC#: , 8-40494
California
Registered Investment Advisory firm - SEC (8/30/2013 Approved)Illinois
Registered Investment Advisory firm - SEC (11/13/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
14 Corporate Plaza, Suite 210 Ste. 210, Newport Beach, CA 92660
Mailing Address
14 Corporate Plaza, Suite 210, Newport Beach, CA 92660
Phone number
(949) 640-4200
Established
California since 10/04/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
27
FINRA licenses (34 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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