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Steven Morrison

Manager at Commonwealth Equity Services

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Steven Morrison is Manager of Commonwealth Equity Services, LLC, a Waltham investment adviser managing $213B. Steven Morrison has a current broker registration and no current investment-adviser registration and has passed the Series 7, SIE and Series 99TO.

Role at Commonwealth Equity Services

Title on Schedule A
Manager
Control
Steven Morrison is a control person of Commonwealth Equity Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Steven Morrison has held the filed role since August 2025.

The firm

Commonwealth Equity Services, LLC
Waltham, MA

Form ADV filed 29 September 2026

$213B AUM360,488 clients2,650 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 7 · 2003

Registrations and exams

Broker registration; no current adviser registration. Steven Morrison has passed 3 qualifying exams.

Examinations

Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 79 September 2003
Name
General Securities Representative Examination

Individual record

Full name
Steven Philip Morrison
CRD
4529345
Firm
Commonwealth Equity Services, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Steven Morrison work?

Steven Morrison has been Manager of Commonwealth Equity Services, LLC since August 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 29 September 2026

Does Steven Morrison have a current investment-adviser registration?

Steven Morrison has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Steven Morrison passed?

Steven Morrison has passed 3 licensing exams: the Series 7, SIE and Series 99TO. The earliest, the Series 7, was passed in September 2003.

Source: IAPD individual record, checked 17 October 2026

Leadership at Commonwealth Equity Services

Sources

  1. IAPD individual record, CRD 4529345. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Commonwealth Equity Services, LLC, filed 29 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Steven Morrison or Commonwealth Equity Services, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.