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Kenneth Richard Morris

Imperial Capital, LLC

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About Kenneth Richard Morris

Kenneth Richard Morris has been in the financial services industry since 1983. Kenneth currently is a registered representative at Imperial Capital, LLC. Kenneth previously worked at Pritchard Capital Partners, LLC, RBC DAIN RAUSCHER INC, RBC Dominion Securities Corporation, Schroder & Co. Inc., Arnhold and S. Bleichroeder, Inc., and Advest, Inc. Kenneth holds Series 7, 24, 55, 57TO, 63, 79TO, 99TO, and SIE licenses. Kenneth is registered to conduct business in California, Minnesota, New York, and Texas.

Firm Information

Kenneth Morris is currently registered with Imperial Capital, LLC. Imperial Capital, LLC is a Limited Liability Company formed in July 1997. The firm is registered in all 50 states and the District of Columbia. They have been approved for SEC registration and have two Regulatory Event disclosures and one Arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

53

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Kenneth Morris’s Registration & Firm History

NY

06/05/2012 - Present

Imperial Capital, LLC (NEW YORK NY)

NY

11/12/2001 - 06/04/2012

PRITCHARD CAPITAL PARTNERS, LLC (NEW YORK NY)

NY

03/14/2001 - 11/05/2001

RBC DAIN RAUSCHER INC. (NEW YORK NY)

NY

05/05/2000 - 03/30/2001

RBC DOMINION SECURITIES CORPORATION (NEW YORK NY)

NY

08/20/1993 - 05/11/2000

SCHRODER & CO. INC. (NEW YORK NY)

NY

04/24/1986 - 08/10/1993

ARNHOLD AND S. BLEICHROEDER, INC. (NEW YORK NY)

NA

08/31/1983 - 04/23/1986

ADVEST, INC.

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Licenses & Designations

BC

Issued 01/21/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/22/1997

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/16/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/15/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Kenneth Richard Morris.
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