George C. Morris
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.
George Cooper Morris IV was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 2017. George had worked at 1 firm and has passed the SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2017 - June 1, 2018
PARKMAN WHALING SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 12/4/2017
Corporate Securities Limited Representative ExaminationCurrent Firm
PARKMAN WHALING SECURITIES LLC
CRD#: 145342 / SEC#: , 8-67723
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMPBELL, BRUCE EMERSON III | CHIEF COMPLIANCE OFFICER | 5459992 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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