Stephen G. Morrison

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CRD#: 814009

Professional summary

Stephen Glen Morrison was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stephen is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, Stephen had worked at 9 firms, which includes OPPENHEIMER & CO. INC., CIBC WORLD MARKETS CORP., LEHMAN BROTHERS INC., MAY & O'CONNOR CAPITAL INC, MORRISON SCHULTE & CO. INC., PRUDENTIAL EQUITY GROUP LLC, BACHE HALSEY STUART INC., BACHE & CO INCORPORATED, BACHE & CO. INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen Glenn Morrison | Steve Morrison

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 27, 2007 - January 5, 2018

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

THE WOODLANDS, TX

Past

January 3, 2003 - January 5, 2018

OPPENHEIMER & CO. INC.

CRD#: 249

THE WOODLANDS, TX

Past

February 27, 1995 - April 18, 1995

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

March 8, 1991 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

September 20, 1988 - December 22, 1990

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

November 10, 1987 - September 17, 1988

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

September 11, 1984 - October 15, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Past

June 11, 1984 - March 7, 1988

MAY & O'CONNOR CAPITAL INC

CRD#: 13326

Past

January 16, 1979 - May 10, 1984

MORRISON, SCHULTE & CO., INC.

CRD#: 7785

Past

September 16, 1977 - March 21, 1979

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

Past

October 23, 1975 - February 27, 1976

BACHE & CO., INCORPORATED

CRD#: 66

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/26/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/5/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/8/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/18/1975

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/23/1979

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 12/12/1978

Registered Principal Examination

Current Firm

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

85 Broad Street 22nd Floor, New York, NY 10004

Mailing Address

85 Broad Street 22nd Floor, Ny, NY 10004

Phone number

(212) 668-8000

Established

New York since 12/23/1954

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

2,883

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OPPENHEIMER CO. INC. PART 2A APPENDIX 1 (3/27/2025)

OPPENHEIMER CO. INC. PART 2A OF FORM ADV (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
VINER FINANCE INC.	PARENT CO.
CASSIDY, THOMAS EDWARD	MANAGING DIRECTOR	4502955
GIORDANO, PETER JOHN	MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER	2921308
HARRINGTON, EDWARD PATRICK	EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES	2566682
LOWENTHAL, ALBERT GRINSFELDER	EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L	313519
LOWENTHAL, ROBERT STEVEN	CEO-PRESIDENT-DIRECTOR	1639913
MCNAMARA, DENNIS PATRICK	E.V.P./CLO/SECRETARY	2938486
MOLOKIE JR, LEON E	EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER	1743402
VALENTINO, DOMINIC THOMAS	CHIEF COMPLIANCE OFFICER	6940515
WATKINS, BRAD MICHAEL	DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO	6319251

Regulatory assets under management

Total Number of Accounts	37,605
AUM (Assets Under Management)	$ 32,418,994,154

Disclosures

Regulatory Event	102
Civil Event	1
Arbitration	180
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
10/25/2023	Cover Page	Report
02/24/2023	Cover Page	Report

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.

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Firm Stability Insights

Stephen G. Morrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

LEHMAN BROTHERS INC.

MAY & O'CONNOR CAPITAL INC

MORRISON, SCHULTE & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

BACHE & CO., INCORPORATED

Primary Firm SEC Registration

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2007

Series 63

Date: 10/4/1984

SIE

Date: 1/5/2018

Series 3

Date: 10/8/1990

Series 7

Date: 10/18/1975

Series 4

Date: 2/23/1979

Series 40

Date: 12/12/1978

Current Firm

OPPENHEIMER & CO. INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OPPENHEIMER & CO. INC.

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