David S. Morken
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.
David Stanley Morken, who also goes by Stan Morken, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1976. David had worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2022 - May 1, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 7, 2022 - May 1, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 19, 2012 - November 15, 2022
CANTELLA & CO., INC.
September 17, 2012 - November 15, 2022
CANTELLA & CO., INC.
June 6, 2002 - September 17, 2012
CPI CAPITAL
February 28, 2001 - September 17, 2012
CPI CAPITAL
August 31, 1998 - March 1, 2001
SII INVESTMENTS, INC.
November 19, 1989 - August 26, 1998
OSAIC WEALTH, INC.
March 1, 1989 - November 22, 1989
OSAIC FA, INC.
March 1, 1989 - April 24, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 7, 1981 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 6, 1976 - April 24, 1987
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/2/1976
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
