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5950 Fairview Road, Suite 140, Charlotte, NC 28210 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-08-31 |
| WA | RA | APPROVED | 2026-08-31 |
Branch Locations
5950 Fairview Road, Suite 140, Charlotte, NC 28210 • United States
2523 Fairway Park Dr, Houston, TX 77092 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American-Nordic Trading Co. | Houston | TX | 12/1989 | 10/2018 |
| Foresters Equity Services, Inc | San Diego | CA | 11/2007 | 06/2017 |
| The Prudental Insurance Co. Of America | Houston | TX | 06/2017 | 08/2017 |
| Pruco Securities, Llc | Houston | TX | 06/2017 | 08/2017 |
| B.A. Morris & Company, Inc. | Houston | TX | 11/2010 | Present |
| Foresters Equity Services, Inc. | San Diego | CA | 08/2017 | 11/2018 |
| Lifemark Securities Corp. | Rochester | NY | 11/2018 | 08/2026 |
| Independent Insurance Agent | Houston | TX | 01/2007 | Present |
| Independent Insurance Agent | Tomball | TX | 01/2007 | Present |
| Innovation Partners Llc | Charlotte | NC | 08/2026 | Present |
| Ip Financial Advisory Services Llc | Charlotte | NC | 08/2026 | Present |
1. Independent insurance agent , investment related, 16015 Lakegrove Forest Drive, Tomball, TX 77377 , sales & service of insurance including life, LTC, disability, health, group insurance & annuities, 1 HOUR PER WEEK; START DATE: 1/2007 2. B.A. MORRIS & COMPANY INC. DBA MORRIS INTERNATIONAL BEVERAGE AND/OR MIB, not investment related, 2523 Fairway Park Drive, Suite 508, Houston, TX 77092 , PRESIDENT, 2 HOUR, START DATE: 11/2010, IMPORTER/EXPORTER AND TEXAS WHOLESALER OF WINE & BEER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1982-04-28 |
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