DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Scotty Lee Morris
Feed of 09/14/2026
Also filed as Scott Lee Morris
At current firm
2 y
since Jun 21, 2024
In the industry
32 y
since Jan 25, 1994 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Commonwealth Financial Network national BD currentsince Jun 21, 2024 · Birmingham, Al
- Truist Advisory Services, Inc. BD affiliatedMar 2, 2021 to Nov 2, 2021 · Atlanta, Ga
- Bb&T Securities, LLC formerApr 7, 2016 to Mar 2, 2021 · Birmingham, Al
- Essex National Securities, Inc. formerJan 25, 2012 to Dec 18, 2014 · Birmingham, Al
- Pnc Managed Account Solutions, Inc. formerOct 15, 2010 to Jan 24, 2012 · Houston, Tx
- St Johns Wealth Management unclassifiedApr 7, 2010 to Oct 15, 2010 · Birmingham, Al
- Bbva Compass Investment Solutions, Inc unclassifiedMay 22, 2002 to Mar 16, 2010 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- Truist Advisory Services, Inc. to Commonwealth Financial Networkleft Nov 2, 2021, registered Jun 21, 2024 (962 days) · Affiliated broker-dealer or bank to another
- Bb&T Securities, LLC to Truist Advisory Services, Inc.left Mar 2, 2021, registered Mar 2, 2021 (0 days) · corporate re-registration, not a move
- Essex National Securities, Inc. to Bb&T Securities, LLCleft Dec 18, 2014, registered Apr 7, 2016 (476 days) · Other
- Pnc Managed Account Solutions, Inc. to Essex National Securities, Inc.left Jan 24, 2012, registered Jan 25, 2012 (1 days) · Other
- St Johns Wealth Management to Pnc Managed Account Solutions, Inc.left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- Bbva Compass Investment Solutions, Inc to St Johns Wealth Managementleft Mar 16, 2010, registered Apr 7, 2010 (22 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address