Carl Robert Morris

Employer firm

Spc CRD 110692

$6.10B regulatory AUM 4,483 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Spc

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2016-09-06

MI RA
APPROVED

Since 2016-09-06

Branch Locations

Hudsonville, MI • United States

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Parkland Securities, Llc	Ann Arbor	MI	08/2014	Present
Sigma Planning Corporation	Ann Arbor	MI	09/2016	Present

08/2014 → Present

Parkland Securities, Llc

Ann Arbor, MI
09/2016 → Present

Sigma Planning Corporation

Ann Arbor, MI

Other Businesses

Sale of life insurance, annuities and LTC through various insurance companies. Annuities offered through approved FMOs of Parkland Securities. Start date: 8/11/17, approx. 8 hrs/mo with 50% during mkt hrs. INV REL: Y Election inspector/worker, City of Grand Rapids/Kent County/Ottawa County, MI. Start date: 8/2/22, approx. 2 hrs/mo (twice a yr) with 50% during mkt hrs. INV REL: N

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-08-25
S63	Uniform Securities Agent State Law Examination	1989-06-09

S65 Uniform Investment Adviser Law Examination

2016-08-25
S63 Uniform Securities Agent State Law Examination

1989-06-09

View on SEC IAPD