Thomas J. 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.
Thomas Joseph Morris, who also goes by Tom Morris, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 10 firms and has passed the Series 66, Series 63, SIE, PC, Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - January 26, 2021
SCHWAB WEALTH ADVISORY, INC.
March 3, 2005 - December 31, 2011
CHARLES SCHWAB & CO., INC.
January 14, 1996 - January 26, 2021
CHARLES SCHWAB & CO., INC.
September 16, 1994 - November 13, 1995
WELLS FARGO CLEARING SERVICES, LLC
June 5, 1993 - September 8, 1994
BANC ONE SECURITIES CORPORATION
February 12, 1992 - June 2, 1992
CHARLES SCHWAB & CO., INC.
August 25, 1989 - January 2, 1992
PRUDENTIAL EQUITY GROUP, LLC
January 9, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
February 19, 1986 - January 25, 1989
LEHMAN BROTHERS INC.
December 7, 1983 - February 25, 1986
MORGAN STANLEY DW INC.
December 4, 1979 - December 28, 1983
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - February 1, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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
PC
Date: 12/8/1995
AMEX Put and Call ExamSeries 8
Date: 2/5/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
