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Type: Dual Registration

Peter Morris is a financial professional at Park Avenue Securities LLC, a broker-dealer with over 2,800 registered representatives nationwide. Peter has held an industry securities registration for 3 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Peter James Morris has not answered any questions on Financial Q&A.

Top Guides

Peter James Morris has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Park Avenue Securities 1 year Apr 2013 - Present
Guardian Life Insurance Company 1 year Apr 2013 - Present
Guardian Life Insurance Company 3 years, 5 months Nov 2009 - Apr 2013
Park Avenue Securities 3 years, 5 months Nov 2009 - Apr 2013
The Bullfinch Group 4 years, 8 months Aug 2009 - Present
Sigmatel Life 3 years, 1 month Jul 2005 - Aug 2008
Freescale Semi 7 years, 6 months Jan 1998 - Jul 2005
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/23/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
General Securities Representative Examination Series 7 12/10/2009
Uniform Combined State Law Examination Series 66 12/03/2009

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees