David L. Morris CRD# 2300091

8/11/2019 David L. Morris CRD# 2300091

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BrokerCheck Report

DAVID LANCE MORRIS

Report #39674-73645, data current as of Monday, October 06, 2014.

Section Title

Report Summary

Broker Qualifications

Registration and Employment History

Disclosure Events

CRD# 2300091

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About BrokerCheck

BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them.

What is included in a BrokerCheck report?BrokerCheck reports for individual brokers include information such as employment history, professionalqualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheck

reports for brokerage firms include information on a firms profile, history, and operations, as well as many of thesame disclosure events mentioned above.Please note that the information contained in a BrokerCheck report may include pending actions or allegationsthat may be contested, unresolved or unproven. In the end, these actions or allegations may be resolved in favorof the broker or brokerage firm, or concluded through a negotiated settlement with no admission or finding ofwrongdoing.

Where did this information come from?The information contained in BrokerCheck comes from FINRAs Central Registration Depository, or CRD and isa combination of:

o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers andbrokerage firms to submit as part of the registration and licensing process, and

o information that regulators report regarding disciplinary actions or allegations against firms or brokers.

How current is this information?Generally, active brokerage firms and brokers are required to update their professional and disciplinaryinformation in CRD within 30 days. Under most circumstances, information reported by brokerage firms, brokersand regulators is available in BrokerCheck the next business day.

What if I want to check the background of an investment adviser firm or investment adviserrepresentative?To check the background of an investment adviser firm or representative, you can search for the firm or individualin BrokerCheck. If your search is successful, click on the link provided to view the available licensing andregistration information in the SEC's Investment Adviser Public Disclosure (IAPD) website athttp://www.adviserinfo.sec.gov. In the alternative, you may search the IAPD website directly or contact your statesecurities regulator at http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414.

Are there other resources I can use to check the background of investment professionals?

FINRA recommends that you learn as much as possible about an investment professional before deciding to workwith them. Your state securities regulator can help you research brokers and investment adviser representativesdoing business in your state.

Thank you for using FINRA BrokerCheck.

For more information aboutFINRA, visit www.finra.org.

Using this site/information meansthat you accept the FINRABrokerCheck Terms andConditions. A complete list ofTerms and Conditions can befound at

For additional information aboutthe contents of this report, please

refer to the User Guidance orwww.finra.org/brokercheck. Itprovides a glossary of terms and alist of frequently asked questions,as well as additional resources.

brokercheck.finra.org
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DAVID L. MORRIS

CRD# 2300091

This broker is not currently registered.

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.

Disclosure Events

All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.

Are there events disclosed about this broker? Yes

The following types of disclosures have beenreported:

Type CountCriminal 1



This broker has passed:

1 Principal/Supervisory Exam

1 General Industry/Product Exam

2 State Securities Law Exams

Re istration Histor

This broker was previously registered with thefollowing securities firm(s):

THE SHEMANO GROUP, INC.CRD# 35528SAN FRANCISCO, CA11/2004 - 12/2004

GLOBALVEST GROUP, INC.CRD# 125363CHICAGO, IL05/2004 - 11/2004

KAPLAN & CO. SECURITIES INC.

CRD# 38619BOCA RATON, FL03/2001 - 03/2002

www.finra.or /brokercheck User Guidance

12014 FINRA. All rights reserved. Report# 39674-73645 about DAVID L. MORRIS. Data current as of Monday, October 06, 2014.
http://www.finra.org/brokercheckhttp://www.finra.org/brokercheck_reportshttp://www.finra.org/brokercheck_reportshttp://www.finra.org/brokercheckhttp://www.finra.org/


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Registrations

This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currentlyregistered and licensed with, the category of each license, and the date on which it became effective. This section alsoprovides, for every brokerage firm with which the broker is currently employed, the address of each branch where thebroker works.


http://www.finra.org/brokercheckhttp://www.finra.org/brokercheck_reportshttp://www.finra.org/http://www.finra.org/brokercheck_reportshttp://www.finra.org/brokercheck


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Industry Exams this Broker has Passed

This individual has passed 1 principal/supervisory exam, 1 general industry/product exam, and 2 statesecurities law exams.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a brokermay attain a registration after receiving an exam waiver based on exams the broker has passed and/or qualifying workexperience. Any exam waivers that the broker has received are not included below.

Exam Category Date

Principal/Supervisory Exams

General Securities Principal Examination 09/28/1998Series 24

Exam Category Date

General Industry/Product Exams

General Securities Representative Examination 05/19/2004Series 7

Exam Category Date

State Securities Law Exams

Uniform Securities Agent State Law Examination 05/24/2004Series 63

Uniform Investment Adviser Law Examination 06/22/2000Series 65

Additional information about the above exams or other exams FINRA administers to brokers and other securitiesprofessionals can be found at www.finra.org/brokerqualifications/registeredrep/.



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Registration and Employment History

Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following firms:

11/2004 - 12/2004 THE SHEMANO GROUP, INC. 35528 SAN FRANCISCO, CA

05/2004 - 11/2004 GLOBALVEST GROUP, INC. 125363 CHICAGO, IL

03/2001 - 03/2002 KAPLAN & CO. SECURITIES INC. 38619 BOCA RATON, FL

11/1999 - 04/2001 BEAR, STEARNS & CO. INC. 79 NEW YORK, NY

09/1998 - 12/1999 BLUESTONE CAPITAL PARTNERS, L.P. 36189 NEW YORK, NY

05/1997 - 11/1998 H.J. MEYERS & CO., INC. 15609 ROCHESTER, NY

10/1994 - 05/1997 D. H. BLAIR & CO., INC. 6833 NEW YORK, NY

10/1993 - 10/1994 THOMAS JAMES ASSOCIATES, INC. 15609 ROCHESTER, NY07/1993 - 10/1993 PRUDENTIAL SECURITIES INCORPORATED 7471 NEW YORK, NY

Employment History

Employment Dates Employer Name Employer Location

This section provides up to 10 years of an individual broker's employment history as reported by the individual broker onthe most recently filed Form U4.

Please note that the broker is required to provide this information only while registered with FINRA or a nationalsecurities exchange and the information is not updated via Form U4 after the broker ceases to be registered.Therefore, an employment end date of "Present" may not reflect the broker's current employment status.

11/2004 - Present THE SHEMANO GROUP, INC. SAN FRANCISCO, CA

01/2004 - 11/2004 GLOBALVEST GROUP, INC LAGUNA NIGUEL, CA

Other Business Activities

This section includes information, if any, as provided by the broker regarding other business activities the broker iscurrently engaged in either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise. This sectiondoes not include non-investment related activity that is exclusively charitable, civic, religious or fraternal and isrecognized as tax exempt.

No information reported.



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Disclosure Events

What you should know about reported disclosure events:

1. All individuals registered to sell securities or provide investment advice are required to disclose customercomplaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings, and criminal or civil

judicial proceedings.

2. Certain thresholds must be met before an event is reported to CRD, for example:o A law enforcement agency must file formal charges before a broker is required to disclose a particular

criminal event.o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules

or conduct governing the industry and that the activity resulted in damages of at least $5,000.

3. Disclosure events in BrokerCheck reports come from different sources:o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers,

brokerage firms and regulators. When more than one of these sources reports information for the samedisclosure event, all versions of the event will appear in the BrokerCheck report. The different versions

will be separated by a solid line with the reporting source labeled.

4. There are different statuses and dispositions for disclosure events:o A disclosure event may have a status ofpending, on appeal, orfinal.

A "pending" event involves allegations that have not been proven or formally adjudicated. An event that is "on appeal" involves allegations that have been adjudicated but are currently

being appealed. A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition ofadjudicated, settledorotherwise resolved. An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or

(2) an administrative panel in an action brought by a regulator that is contested by the partycharged with some alleged wrongdoing.

A "settled" matter generally involves an agreement by the parties to resolve the matter. Pleasenote that brokers and brokerage firms may choose to settle customer disputes or regulatorymatters for business or other reasons.

A "resolved" matter usually involves no payment to the customer and no finding of wrongdoingon the part of the individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker.Further information regarding these events can be found in the subsequent pages of this report. You also maywish to contact the broker to obtain further information regarding these events.

Final On AppealPending

Criminal 0 1 0



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Disclosure Event Details

When evaluating this information, please keep in mind that a discloure event may be pending or involve allegationsthat are contested and have not been resolved or proven. The matter may, in the end, be withdrawn, dismissed,resolved in favor of the broker, or concluded through a negotiated settlement for certain business reasons (e.g., tomaintain customer relationships or to limit the litigation costs associated with disputing the allegations) with no

admission or finding of wrongdoing.

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fieldscontained in the report may be blank if the information was not provided to CRD.

Criminal - Final Disposition

This type of disclosure event involves a criminal charge against the broker that has resulted in a conviction, acquittal,dismissal, or plea. The criminal matter may pertain to any felony or certain misdemeanor offenses, including bribery,perjury, forgery, counterfeiting, extortion, fraud, and wrongful taking of property.

Disclosure 1 of 1

Reporting Source: Broker

Organization Name (ifcharge(s) were broughtagainst an organization overwhich broker exercisedcontrol):

NO

Court Details: STATE OF CALIFORNIACOUNTY OF SAN FRANCISCOCASE NUMBER 2138793

Charge Date: 12/01/2003

Charge Details: 1 COUNT FELONY VIOLATING SEC 245(A)(1) OF CALIFORNIA PENAL CODEIN THAT SAID DEFENDANT DID WILFULLY, UNLAWFULLY , ANDPERSONALLY COMMIT AN ASSAULT UPON PHILIP CLAYPOOL, BY MEANSOF FORCE TO PRODUCE GREAT BODI;Y INJURY

Felony? Yes

Current Status: Final

Status Date: 04/08/2004

Disposition Details: DISMISS



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End of Report

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Documents

David L. Morris CRD# 2300091