Gordon 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.
Gordon James Morris was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1975. Gordon had worked at 7 firms and has passed the SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 1999 - December 1, 2017
SPC
March 16, 1994 - November 30, 2017
SIGMA FINANCIAL CORPORATION
August 30, 1988 - March 21, 1994
MERIDIAN, DUNHILL & CO., INC.
December 2, 1986 - September 6, 1988
DREHER & ASSOCIATES, INC.
April 26, 1984 - December 4, 1986
CADARET, GRANT & CO., INC.
October 20, 1980 - January 4, 1985
EQUITABLE ADVISORS, LLC
March 17, 1975 - January 4, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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: 3/12/1975
Registered Representative ExaminationCurrent Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
