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RIA / WealthAdvisor54 years in industry

JAMES JOHN MORRISON

Advisor at AE WEALTH MANAGEMENT, LLC

Coldwater, MI

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Search this name across graphsid dfx:ria:aa51b6fc-4f10-af20-bb31-e25fa3d4bd41

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 28, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AE WEALTH MANAGEMENT, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 1972earliest registration or exam on IAPD
Years in industry: 54derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Oct 11, 1982
First registration: Feb 28, 2001
Dual registered: no
IAPD individual key: 340742

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Apr 14, 2017	n/a	yes	Coldwater, MI	Current employment
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Former SEC adviser	May 10, 2013	Apr 18, 2017	no	COLDWATER, MI\|SARASOTA, FL	Previous registration
Spc	Bd affiliated wealth	Dec 6, 2005	May 1, 2013	no	ANN ARBOR, MI\|COLDWATER, MI	Previous registration
USALLIANZ SECURITIES, INC.	n/a	Feb 28, 2001	Dec 7, 2005	no	COLDWATER, MI\|ANN ARBOR, MI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	AE WEALTH MANAGEMENT, LLC	Apr 18, 2017	Apr 14, 2017	-4	Firm change	Other
Spc	GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	May 1, 2013	May 10, 2013	9	Firm change	Other
USALLIANZ SECURITIES, INC.	Spc	Dec 7, 2005	Dec 6, 2005	-1	Firm change	Other

Relationships

Registered with (4)

→ AE WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Apr 14, 2017 to presentfactForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserregistration: previous registration
May 10, 2013 to Apr 18, 2017factForm ADV
→ SPCRegistered adviserregistration: previous registration
Dec 6, 2005 to May 1, 2013factForm ADV
→ USALLIANZ SECURITIES, INC.Registered adviserregistration: previous registration
Feb 28, 2001 to Dec 7, 2005factForm ADV

Dated events

No dated event names this entity yet.