Richard William Morrow

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Charlotte, NC
• 11/2016 → 05/2021
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
• 05/2021 → Present
  Janney Montgomery Scott Llc
  Charlotte, NC

Previous Registrations

• 2004-02-24 → 2021-05-25
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
  Charlotte, NC
• 1997-03-18 → 2004-02-20
  Morgan Stanley Dw Inc.
  Clearwater, FL

Other Businesses

1) BSA Scouting, Charlotte, NC; Not Investment Related; Nature: Youth Leadership Development; Title/Position: Unit Training Chair; Duties: I help advance the training and certification for adults assisting Troop 11 and Troop 111. I give input and vote on matters related to Troop 11 and Troop 111; Devotes 8 hrs/mnth; Not compensated. 2) Hound Ears Club, Boone, NC; Not Investment Related; Nature: Golf and Social Club; Title/Position: Finance Committee Member; Duties: Review and make recommendations to the Hound Ears Board of Directors on financial policies and recommendations. Not compensated, 5 hrs./month, not investment related. 3) Hound Ears Club, Boone, NC; Golf and Social Club. Board Member: Review and vote on committee proposals to advance the interest of Hound Ears Club and its members. Not compensated, 4 hrs./Month, not Investment Related, October 2022. 4) Hound Ears Club, Boone, NC. Chair of the Sports Committee: Review policies and make recommendations to the Hound Ears Board of Directors related to sporting activities within the club including fitness center and racquet sports. Not compensated, 5 hrs./month, 01/20/23. 5) Hound Ears Club, Boone, NC. Treasurer/Finance Committee Chair - Review and make recommendations to the Hound Ears Board of Directors on financial policies and recommendations. Not Compensated, not investment related, 5 hours/month. 6. Hound Ears Club, Boone, NC. House Infrastructure and Decor Committee Chair (05/2024) - Review and make recommendations to the Hound Ears Board of Directors on infrastructure and decor matters related to the Clubhouse, Tee House, Pool. Not investment related, not compensated, 5 hours/month. 7. Hound Ears Club, Bonne, NC. Country Club President (03/2016) - oversee the Boards supervision of the General Manager of the Club, the affairs of the Club and preside at all meetings of the Board and of the Members. Not compensated, not investment related, 8 hours/month.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-14
• S63 Uniform Securities Agent State Law Examination
  1993-08-26

Designations