Individual Firm
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William S Morris
WILLIAM SAMUEL MORRIS, WILLIAM MORRIS, Bill Morris
CRD#: 1793507
IA
B
CAPE INVESTMENT ADVISORY, INC.CRD#: 146384 BRADENTON, FL
CAPE SECURITIES INC.CRD#: 7072 BRADENTON, FL
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3/10/2014
Customer Dispute
Denied
State Registrations
B
Alabama 4/22/2020
B
Mississippi 4/23/2020
IA
Florida 4/6/2020
B
North Carolina 4/23/2020
B
Florida 4/22/2020
B
South Carolina 5/19/2023
B
Georgia 4/22/2020
B
Texas 4/22/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
B
IA
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/21/2016 - 02/04/2020 | Osprey, FL | |
B | 06/14/2016 - 02/04/2020 | Osprey, FL | |
IA | 03/26/2009 - 04/29/2016 | osprey, FL | |
B | 03/26/2009 - 04/29/2016 | osprey, FL | |
IA | 07/13/2000 - 03/31/2009 | SARASOTA, FL | |
B | 07/12/2000 - 03/31/2009 | SARASOTA, FL | |
B | 06/25/1998 - 04/01/1999 | NEW YORK, NY | |
B | 01/14/1994 - 03/13/1997 | TORRANCE, CA | |
B | 06/09/1992 - 11/12/1992 | LAVISTA, NE | |
B | 09/07/1989 - 06/27/1990 | NEW YORK, NY | |
B | 05/19/1989 - 09/06/1989 | CHICAGO, IL | |
B | 04/19/1988 - 06/15/1988 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.