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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Morris is an active investment advisor representative with Morgan Stanley. Douglas has been in the industry since December 12, 1995. Douglas is registered with the state of California, as well as Texas. Douglas has previously worked at Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Douglas is also a registered principal with Morgan Stanley, and holds Series 7, 9, 10, 31, and 63 licenses, as well as the SIE and Series 65. Douglas has experience in asset allocation advice, financial planning, pension consulting, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
06/01/2009 - Present
Morgan Stanley (CLAREMONT CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ONTARIO CA)
CA
12/13/1995 - 04/02/2007
MORGAN STANLEY DW INC. (ONTARIO CA)
IA
Issued 12/28/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/15/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/13/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/19/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 12/12/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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