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Detailed Report
DAVID JEFFREY MORRIS
CRD#: 2522277
IA
Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
19982000200220042006200820102012201420162018202020222024IASTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2016 - 2022 (5 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2010 - 2016 (6 years)IAJ.P.MORGAN SECURITIES INC. (CRD# 79)2006 - 2010 (3 years)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2002 - 2006 (3 years)IAMORGAN STANLEY (CRD# 7556)1998 - 2002 (4 years)
Disclosure(s)
View By:
1/11/2024
Regulatory
Final
1/31/2023
Regulatory
Final
9/13/2022
Customer Dispute
Award / Judgment
8/25/2022
Regulatory
Final
3/21/2022
Regulatory
Final
7/6/2021
Judgment / Lien
1/8/2019
Customer Dispute
Withdrawn
10/15/2003
Customer Dispute
Denied
Previous Registration(s)
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 08/26/2016 - 05/18/2022 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) CHICAGO, IL
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 05/21/2010 - 09/06/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
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 06/23/2006 - 05/27/2010 J.P.MORGAN SECURITIES INC. (CRD#:79) CHICAGO, IL
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 12/13/2002 - 06/27/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHICAGO, IL
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 03/04/1998 - 12/19/2002 MORGAN STANLEY (CRD#:7556) CHICAGO, IL
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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.
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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
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.