Andrew MorrisCRD 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 13 years of experience in the finance industry.
Lpl Financial LLC
Springboard Asset Management LLC
Scholtz & Co
|Prudential Insurance Co Of America||Shelton, CT||Dec 2010 - Current||7|
|Prudential Annuities Distributors, Inc.||Shelton, CT||Dec 2010 - Current||7|
|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|
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
Total Assets Under Management130,974MILLIONS
Total Number of Accounts73ACCOUNTS
Average Account Value$1,794,170,302
- A percentage of assets under your management
- Portfolio management for investment companies (as well as "business development companies")
- Selection of other advisers (including private fund managers)
CA, CT, GA, IL, MA, NJ, OH, PA, TX
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