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CHRISTOPHER OWEN MORRIS
CHRIS OWEN MORRIS
CRD#: 4246536
IA
Investment Adviser
B
Broker
CMA FINANCIAL SERVICESCRD#: 283847 1 Dunwoody Park, Suite 105
Atlanta, GA 30338
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 One Dunwoody Park, South
Suite 105
Atlanta, GA 30338
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2012 (8 years)2 FIRMS2012 - 2016 (4 years)2 FIRMS2016 - Present (8 years)BTRIAD ADVISORS, INC. (CRD# 25803)2002 - 2004 (2 years)BINTERSECURITIES, INC. (CRD# 16164)2001 - 2002 (<1 year)BAXA ADVISORS, LLC (CRD# 6627)2000 - 2001 (1 year)IATRIAD ADVISORS, INC. (CRD# 25803)2003 - 2004 (1 year)
Disclosure(s)
View By:
4/17/2007
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 7/25/2016

B
Tennessee 7/25/2016

B
Georgia 7/25/2016

B
Texas 2/22/2018

IA
Georgia 8/3/2016

IA
Texas 4/25/2018

B
South Carolina 7/25/2016

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CMA FINANCIAL SERVICES (CRD#:283847)
1 Dunwoody Park, Suite 105, Atlanta, GA 30338
Registered with this firm since 8/3/2016

B
PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747)
One Dunwoody Park, South Suite 105, Atlanta, GA 30338
Registered with this firm since 7/25/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/30/2012 - 08/04/2016 CAPE INVESTMENT ADVISORY, INC. (CRD#:146384) TUCKER, GA
B
06/27/2012 - 08/04/2016 CAPE SECURITIES INC. (CRD#:7072) Dunwoody, GA
IA
05/18/2004 - 07/05/2012 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) TUCKER, GA
B
05/18/2004 - 07/05/2012 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) TUCKER, GA
IA
01/24/2003 - 05/18/2004 TRIAD ADVISORS, INC. (CRD#:25803) TUCKER, GA
B
04/29/2002 - 05/18/2004 TRIAD ADVISORS, INC. (CRD#:25803) ATLANTA, GA
B
11/27/2001 - 05/01/2002 INTERSECURITIES, INC. (CRD#:16164) PHILADELPHIA, PA
B
09/28/2000 - 11/05/2001 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.