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Denise Morrison

Denise Morrison

\r\nMorrison joined Securities America in 2012. As the chief compliance officer, Morrison serves as a member of the firm’s Executive Leadership Team and leads the firm’s advisory compliance; licensing; communication review; branch office exam; workflow; policies and procedures; surveillance; and client regulatory and inquiry groups. Her responsibilities include providing strategic direction to the Compliance Department and overseeing the development, implementation, communication and review of all compliance policies, procedures and technology designed to meet the requirements of federal and state regulatory authorities. \r\n\r\n\r\nAs the former managing director of regulatory affairs and chief compliance officer of investment affairs at Morgan Keegan in Memphis, Tenn., Morrison was in charge of ensuring regulatory management and managed various compliance areas, including privacy, business continuity planning, advertising and marketing, anti-money laundering, advisory compliance and equity capital markets compliance. Morrison began her career in compliance in 1998 and joined Morgan Keegan in 2007.\r\n\r\n\r\nMorrison came to Morgan Keegan through the purchase of AmSouth Investment Services (AIS), a wholly owned subsidiary of AmSouth Bancorporation, based in Birmingham, Ala. At AIS, she also served as a senior manager in the Compliance Department responsible for overseeing various areas. Before AIS, Morrison served as the chief compliance officer for NBC Securities Inc. for four years, reporting to both the president and parent company’s board of directors. \r\n\r\n\r\nMorrison graduated from Samford University with a bachelor’s degree in business management and finance and holds the Series 7, 14, 24, 53, 63, 65, 79 and 99, IB and OS registrations. In addition, she is a member of the Securities Industry and Financial Markets Association, the National Society of Compliance Professionals and the Securities and Insurance Licensing Association.\r\n