Paula A. 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.
Paula Aura Morris, who also goes by Paula Aura Riddle, was a registered financial professional .
Paula is a previously registered financial professional and started their career in finance in 1977. Paula had worked at 3 firms and has passed the Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 1979 - May 24, 1991
CAPSTONE SECURITIES CORPORATION
December 8, 1977 - September 7, 1979
THE INCOME BUILDERS, INC.
February 18, 1977 - January 5, 1978
ROYAL LANE SECURITIES, INC.
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 40
Date: 2/15/1977
Registered Principal ExaminationCurrent Firm
CAPSTONE SECURITIES CORPORATION
CRD#: 7825 / SEC#: , 8-22690
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
