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Matthew Neil Morris

Morgan Stanley

Alpharetta, GA

Charlotte, NC

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2023-09-25
TX RA APPROVED 2023-09-21
NC RA APPROVED 2023-09-05
  • GA RA
    APPROVED
    Since 2023-09-25
  • TX RA
    APPROVED
    Since 2023-09-21
  • NC RA
    APPROVED
    Since 2023-09-05

Branch Locations

3 Edison Drive, Alpharetta, GA 30005 • United States

Charlotte, NC • 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
OrganizationCityStateFromTo
The Vanguard Group, Inc. Charlotte NC 07/2016 07/2022
E*Trade Securities Llc Alpharetta GA 07/2022 09/2023
E*Trade Capital Management Llc Alpharetta GA 07/2022 09/2023
Morgan Stanley Smith Barney Llc Charlotte NC 09/2023 Present
  • 07/2016 → 07/2022
    The Vanguard Group, Inc.
    Charlotte, NC
  • 07/2022 → 09/2023
    E*Trade Securities Llc
    Alpharetta, GA
  • 07/2022 → 09/2023
    E*Trade Capital Management Llc
    Alpharetta, GA
  • 09/2023 → Present
    Morgan Stanley Smith Barney Llc
    Charlotte, NC
Previous Registrations
  • 2022-07-18 → 2023-09-05
    Harrisdirect Llc
    Charlotte, NC
    Arlington, VA
    Charlotte, NC
  • 2020-07-24 → 2022-07-19
    Vanguard Advisers, Inc.
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-22
S63 Uniform Securities Agent State Law Examination 2016-08-30
  • S66 Uniform Combined State Law Examination
    2020-07-22
  • S63 Uniform Securities Agent State Law Examination
    2016-08-30
Other Names
  • Matt Morris
  • Matthew N Morris

View on SEC IAPD

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Other Offices

MRP CAPITAL INVESTMENTS, LLC · ALPHARETTA, GA
NEW EDGE WEALTH · Alpharetta, GA
COMMONWEALTH FINANCIAL NETWORK · Alpharetta, GA
SEQUENT PLANNING, LLC · ALPHARETTA, GA
BROOKSTONE WEALTH ADVISORS, LLC · Alphretta, GA
SEQUENT PLANNING, LLC · ALPHARETTA, GA
LADENBURG THALMANN ASSET MANAGEMENT INC · Norcross, GA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · ALPHARETTA, GA

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