Kevin J. Morrissey
Professional summary
Kevin James Morrissey, who also goes by Kevin James Morrissey, is a registered financial professional currently at COMERICA SECURITIES located in Auburn Hills, Michigan.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2021. Kevin has worked at 2 firms and has passed the Series 66, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin James Morrissey's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 23, 2024 - Present
COMERICA SECURITIES
Office #1: 3701 Hamlin Road Mc 7476, Auburn Hills, MI 48326September 9, 2021 - October 8, 2021
SECURIAN FINANCIAL SERVICES, INC.
April 10, 2021 - October 8, 2021
SECURIAN FINANCIAL SERVICES, INC.
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 79TO
Date: 2/23/2024
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 4/10/2021
General Securities Representative ExaminationFINRA
Current Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
Red Flags
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