Michele K. 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.
Michele Kathleen Morris, who also goes by Michele K Stepetic, was a registered financial professional .
Michele is a previously registered financial professional and started their career in finance in 1980. Michele had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2016 - March 23, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2016 - March 23, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 30, 2014 - May 24, 2016
CUSO FINANCIAL SERVICES, L.P.
August 27, 2013 - May 24, 2016
CUSO FINANCIAL SERVICES, L.P.
October 1, 2009 - September 3, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
February 21, 2006 - March 23, 2006
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - March 23, 2006
CITIGROUP GLOBAL MARKETS INC.
February 16, 2006 - October 6, 2009
OSAIC WEALTH, INC.
May 25, 2002 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
May 24, 2002 - February 23, 2006
LEGG MASON WOOD WALKER, INCORPORATED
March 11, 1997 - May 17, 2002
MCCRACKEN ADVISORY PARTNERS CORPORATION
July 31, 1993 - March 21, 1997
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
July 17, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
April 22, 1982 - July 25, 1987
UBS FINANCIAL SERVICES INC.
July 16, 1980 - February 23, 1982
NUVEEN SECURITIES, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 1
Date: 7/15/1980
Registered Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
