Andrew Morris, financial advisor Shelton CT
68 score

Andrew Morris

CRD Number: 2009038
Current Firm: Ast Investment Services, Inc.

Andrew Morris (CRD# 2009038) is an Investment Advisor Representative working at Ast Investment Services, Inc. in Shelton, CT and has over 12 years of experience in the finance industry.

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Company Name Location Dates Years
Prudential Insurance Co Of America Shelton, CT Dec 2010 - Current 6
Prudential Annuities Distributors, Inc. Shelton, CT Dec 2010 - Current 6
Mml Investor Services Inc. Bala Cynwd, PA Mar 2010 - Nov 2010 < 1
Massmutual Life Insurance Company Bala Cynwyd, PA Nov 2009 - Nov 2010 1
Unemployed Willingboro, NJ May 2009 - Oct 2009 < 1
John Hancock Distributors LLC Boston, MA Oct 2003 - Apr 2009 5
John Hancock Willingboro, NJ May 2002 - Apr 2009 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2004
S66 NASAA Uniform Combined State Law Examination Nov 2010
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Andrew F. Morris
Phone Number: 973-367-6608
Registered State(s):
  • CT
  • NJ
By the Numbers
  • Total Assets Under Management
    125,925
    MILLIONS
  • Total Number of Accounts
    72
    ACCOUNTS
  • Average Account Value
    $1,748,952,551
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for investment companies (as well as "business development companies")
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA, CO, CT, FL, GA, IL, MA, MD, NJ, NM, OH, PA, SC, TN, TX, VA, WA

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BADGES
68

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