Clay Edward Morris

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-02-10

CA RA
APPROVED

Since 2025-02-10

Branch Locations

13001 Seal Beach Blvd, Ste 240, Seal Beach, CA 90740 • 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
Lpl Financial Llc	Seal Beach	CA	08/2015	Present

08/2015 → Present

Lpl Financial Llc

Seal Beach, CA

Other Businesses

1. 9/3/2015 - MJF Financial, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 92 Hours Per Month/7 Hours During Securities Trading - Time Spent 100%. 2. 4/5/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary - Started 10/12/2018 - 1 Hour Per Month During Securities Trading - Notary Public - Notary for clients.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-02-08

S66 Uniform Combined State Law Examination

2019-02-08

View on SEC IAPD