Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Francis Morris is a financial advisor with LPL Financial LLC. John has been in the industry since March 10, 2008 and is registered with both FINRA and the SEC. John holds Series 66, SIE, and Series 7 licenses. John is also registered in Connecticut, Florida, Georgia, Massachusetts, New York, North Carolina, Rhode Island, South Carolina, and Texas. John's prior employers include Waddell & Reed, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and UBS Financial Services Inc. John provides financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
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.
Consulting and other non-discretionary advisory services
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.
1
2
RI
07/21/2021 - Present
LPL Financial LLC (WEST WARWICK RI)
RI
09/13/2012 - 07/21/2021
WADDELL & REED (WEST WARWICK RI)
RI
11/12/2009 - 08/10/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PROVIDENCE RI)
RI
01/01/2008 - 10/06/2009
UBS FINANCIAL SERVICES INC. (PROVIDENCE RI)
BOTH
Issued 01/22/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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