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A LEE MORRIS III
ALBERT LELAND MORRIS III, ALBERT LELAND MORRIS, LEE MORRIS
CRD#: 716848
IA
B
MORGAN STANLEYCRD#: 149777 3800 Glenwood Avenue
Suite 500
RALEIGH, NC 27612
Suite 500
RALEIGH, NC 27612
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8/26/2011
Customer Dispute
Denied
9/24/2008
Customer Dispute
Settled
State Registrations
B
Alabama 1/7/2022
B
Nevada 8/18/2020
B
Arizona 6/1/2009
B
New Hampshire 3/21/2024
B
Arkansas 8/24/2017
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 9/23/2015
B
North Carolina 6/1/2009
B
Connecticut 3/5/2012
IA
North Carolina 6/1/2009
B
Delaware 1/17/2014
B
Ohio 9/8/2019
B
District of Columbia 4/12/2013
B
Oklahoma 11/3/2015
B
Florida 6/1/2009
B
Oregon 3/10/2021
B
Georgia 6/1/2009
B
Pennsylvania 9/27/2017
B
Illinois 6/1/2009
B
Puerto Rico 11/3/2021
B
Iowa 8/24/2017
B
South Carolina 6/1/2009
B
Kansas 6/1/2009
B
South Dakota 3/14/2022
B
Kentucky 3/17/2021
B
Tennessee 9/24/2010
B
Louisiana 6/1/2009
B
Texas 6/1/2009
B
Maine 10/18/2019
IA
Texas 3/8/2011
B
Maryland 8/17/2021
B
Utah 5/30/2019
B
Massachusetts 8/5/2021
B
Vermont 3/21/2024
B
Michigan 10/10/2024
B
Virginia 6/1/2009
B
Minnesota 6/18/2020
B
Washington 11/30/2017
B
Mississippi 6/5/2020
B
West Virginia 9/28/2010
B
Missouri 9/11/2017
B
Wisconsin 4/9/2024
B
Nebraska 8/24/2017
SRO Registrations
B
B
B
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
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/31/2001 - 06/01/2009 | RALEIGH, NC | |
B | 07/31/1993 - 06/01/2009 | RALEIGH, NC | |
B | 09/12/1988 - 07/31/1993 | NEW YORK, NY | |
B | 04/25/1988 - 09/19/1988 | ||
B | 09/25/1980 - 05/06/1988 |
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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.