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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-01-03
SC RA APPROVED 2023-01-03
TX RA APPROVED 2023-01-03
  • NC RA
    APPROVED
    Since 2023-01-03
  • SC RA
    APPROVED
    Since 2023-01-03
  • TX RA
    APPROVED
    Since 2023-01-03

Branch Locations

14 Towne Place Drive, Suite 110, Hendersonville, NC 28792-5888 • United States

14 Towne Place Dr Suite 110, Hendersonville, NC 28792 • United States

1603 East Rutherford Street, Landrum, SC 29356 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

1603 East Rutherford Street, Landrum, SC 29356-1429 • 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
Army National Guard Columbia SC 11/2006 Present
Invest Financial Corp Tampa FL 01/2009 10/2017
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2017 01/2023
Cambridge Investment Research, Inc. Fairfield IA 10/2017 01/2023
Morris Financial Services Columubs NC 06/2012 Present
Lpl Financial Llc Hendersonville NC 01/2023 Present
  • 11/2006 → Present
    Army National Guard
    Columbia, SC
  • 01/2009 → 10/2017
    Invest Financial Corp
    Tampa, FL
  • 10/2017 → 01/2023
    Fairfield, IA
  • 10/2017 → 01/2023
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 06/2012 → Present
    Morris Financial Services
    Columubs, NC
  • 01/2023 → Present
    Hendersonville, NC
Previous Registrations
  • 2017-10-11 → 2023-01-06
    Hendersonville, NC
    Landrum, SC
  • 2009-09-16 → 2017-10-11
    Invest Financial Corporation
    Hendersonville, NC
    Landrum, SC
    Hendersonville, NC
    Hendersonville, NC
Other Businesses

1) 1/2023 - Morris Tax Services / Tax Prep/Accounting/CPA / Investment Related / 80 Hours per month / 30 time spent percent / 4 hours during trading / Hendersonville, NC 2) 1/2023 - Morris Financial Services / DBA for LPL Business (entity for LPL business) / Investment Related / 140 Hours per month / 75 time spent percent / 35 hours during trading / Hendersonville, NC 3) 1/2023 - NC ARMY NATIONAL GUARD / Outside/W-2 Employment / Investment Related / 24 Hours per month / 10 time spent percent / 8 hours during trading 4)1/2023 - Rental / Real Estate Rental / Investment Related / 1 Hours per month / 5 time spent percent / 1 hours during trading / Landrum, SC

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-09-15
S63 Uniform Securities Agent State Law Examination 2005-10-14
  • S65 Uniform Investment Adviser Law Examination
    2009-09-15
  • S63 Uniform Securities Agent State Law Examination
    2005-10-14
Other Names
  • Andrew Morris

View on SEC IAPD

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