Individual Firm
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JOHN WILLIAM MORLOCK
CRD#: 4317324
IA
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ADVICE AND PLANNING SERVICESCRD#: 20472 2 BUCK ROAD
SUITE D
HANOVER, NH 03755
SUITE D
HANOVER, NH 03755
0
Disclosures
18
Years of Experience
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State Registrations
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Arizona 10/1/2010
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New Jersey 9/9/2021
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Arkansas 1/7/2015
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New Mexico 4/30/2020
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California 9/23/2016
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New York 1/6/2014
B
Colorado 6/1/2023
B
Ohio 7/11/2024
B
Connecticut 9/11/2019
B
Oregon 10/30/2015
B
Florida 10/1/2010
B
Pennsylvania 11/9/2021
B
Illinois 7/22/2011
B
Rhode Island 11/27/2018
B
Maine 8/9/2011
B
South Carolina 1/3/2023
B
Maryland 4/18/2023
B
Texas 5/9/2019
B
Massachusetts 10/1/2010
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Utah 4/19/2023
B
Minnesota 10/30/2024
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Vermont 10/1/2010
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Montana 12/15/2023
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Vermont 6/19/2024
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New Hampshire 10/1/2010
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Virginia 8/12/2020
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New Hampshire 11/10/2011
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Washington 10/18/2024
SRO Registrations
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Registered with this firm since 11/10/2011
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Registered with this firm since 10/1/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/24/2009 - 09/28/2010 | WHITE RIVER JUNCTION, VT | |
B | 09/23/2009 - 09/28/2010 | WHITE RIVER JUNCTION, VT | |
IA | 01/08/2008 - 10/28/2009 | WHITE RIVER JCT, VT | |
B | 12/06/2007 - 10/28/2009 | WHITE RIVER JCT, VT | |
B | 02/26/2004 - 01/03/2005 | BURLINGTON, VT | |
B | 01/25/2001 - 02/14/2001 | MINNEAPOLIS, MN | |
B | 01/25/2001 - 02/14/2001 | MINNEAPOLIS, MN |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.