Michael T. Morris
Professional summary
Michael Trent Morris was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Michael had worked at 11 firms, which includes HALCYON CABOT PARTNERS LTD., MCBARRON CAPITAL LLC, ARJENT LTD., H.C.WAINWRIGHT & CO. LLC, AUGMENT SECURITIES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., DREXEL BURNHAM LAMBERT INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, ADVEST INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2010 - October 6, 2015
HALCYON CABOT PARTNERS, LTD.
October 11, 2007 - July 6, 2010
MCBARRON CAPITAL LLC
June 15, 2006 - May 14, 2007
MCBARRON CAPITAL LLC
August 12, 2002 - February 12, 2008
ARJENT LTD.
March 13, 2000 - August 22, 2002
H.C.WAINWRIGHT & CO., LLC
March 23, 1999 - February 23, 2000
AUGMENT SECURITIES INC.
February 16, 1996 - February 25, 1999
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 31, 1993 - March 6, 1996
CITIGROUP GLOBAL MARKETS INC.
May 11, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
May 22, 1989 - May 13, 1992
CITIGROUP GLOBAL MARKETS INC.
May 21, 1985 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
January 15, 1982 - May 9, 1985
LEHMAN BROTHERS INC.
March 29, 1979 - January 28, 1982
PRUDENTIAL EQUITY GROUP, LLC
October 3, 1977 - April 4, 1979
ADVEST, 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
Current Firm
HALCYON CABOT PARTNERS, LTD.
CRD#: 32664 / SEC#: , 8-28702
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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