Individual Firm
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Jamal Lorenzo Morris
Jamal Morris, Jay Morris
CRD#: 5986137
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1200 PROSPECT STREET
Suite 100
LA JOLLA, CA 92037
Suite 100
LA JOLLA, CA 92037
0
Disclosures
12
Years of Experience
View By:
State Registrations
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Alabama 7/18/2024
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Minnesota 7/18/2024
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Arizona 7/18/2024
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New York 6/27/2023
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California 4/27/2022
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North Carolina 7/18/2024
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California 4/27/2022
B
Ohio 7/18/2024
B
Connecticut 7/18/2024
B
Oklahoma 7/18/2024
B
Delaware 7/18/2024
B
Oregon 6/27/2023
B
Florida 6/27/2023
B
Pennsylvania 7/18/2024
B
Georgia 7/18/2024
B
South Carolina 7/18/2024
B
Illinois 6/27/2023
B
Tennessee 6/27/2023
B
Kansas 7/18/2024
B
Texas 4/3/2024
B
Maine 7/18/2024
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Texas 4/5/2024
B
Maryland 6/27/2023
B
Virginia 6/27/2023
B
Massachusetts 7/18/2024
B
Washington 7/18/2024
B
Michigan 6/27/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 4/27/2022
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Registered with this firm since 4/27/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/03/2021 - 05/02/2022 | SAN DIEGO, CA | |
B | 11/02/2021 - 05/02/2022 | SAN DIEGO, CA | |
IA | 08/20/2021 - 10/11/2021 | SAN MARCOS, CA | |
B | 08/20/2021 - 10/11/2021 | GREENWOOD VILLAGE, CO | |
IA | 05/23/2019 - 08/11/2021 | SAN DIEGO, CA | |
B | 05/23/2019 - 08/11/2021 | SAN DIEGO, CA | |
IA | 11/15/2018 - 06/11/2019 | ENCINITAS, CA | |
B | 11/15/2018 - 06/11/2019 | ENCINITAS, CA | |
IA | 12/15/2017 - 06/29/2018 | CARLSBAD, CA | |
B | 12/15/2017 - 06/29/2018 | CARLSBAD, CA | |
IA | 05/27/2014 - 01/04/2018 | TEMECULA, CA | |
B | 03/17/2014 - 01/04/2018 | TEMECULA, CA | |
B | 06/06/2012 - 02/26/2014 | EL CAJON, CA | |
B | 11/05/2011 - 06/11/2012 | SAN DIEGO, CA |
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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.