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RM

Ray Morgan

FNBB CAPITAL MARKETS
Shreveport, LA 71101
Some features on this profile are disabled
CRD#: 1059704
RM

Professional summary

Ray Morgan is a registered financial professional currently at FNBB CAPITAL MARKETS, LLC located in Shreveport, Louisiana.

Ray is registered as a RR (Registered Representative) and started their career in finance in 1982. Ray has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ray Morgan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 18, 2007 - Present

FNBB CAPITAL MARKETS, LLC

Office #1: 333 Texas Street Suite 1280, Shreveport, LA 71101
RIA
BD
CRD#: 132091
Shreveport, LA
Past

December 19, 2003 - August 17, 2005

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA
CRD#: 111757
SHREVEPORT, LA
Past

February 14, 2000 - February 8, 2007

AMSOUTH INVESTMENT SERVICES, INC.

BD
CRD#: 15692
SHREVEPORT, LA
Past

July 2, 1998 - February 14, 2000

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

July 14, 1997 - July 8, 1998

DEPOSIT GUARANTY INVESTMENTS, INC.

BD
CRD#: 27560
Past

May 6, 1992 - July 14, 1997

CNB INVESTMENTS, INC.

BD
CRD#: 17987
Past

August 11, 1989 - March 6, 1992

ICBA SECURITIES

BD
CRD#: 24088
MEMPHIS, TN
Past

October 23, 1986 - May 14, 1990

VINING-SPARKS SECURITIES, INC.

BD
CRD#: 10073
Past

November 11, 1982 - January 3, 1985

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
Past

August 11, 1982 - November 9, 1982

TOWNES & CO., INC.

BD
CRD#: 7034

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(4/18/2007)
RR
Louisiana
(4/18/2007)
RR
New York
(2/12/2025)
RR
Ohio
(4/3/2020)
RR
Texas
(11/9/2009)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/25/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/19/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 8/10/1982
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FNBB CAPITAL MARKETS, LLC
FNBB CAPITAL MARKETS, LLC

CRD#: 132091 / SEC#: , 8-66553

Alabama
Registered Investment Advisory firm - SEC (8/2/2017 Approved)
Louisiana
Registered Investment Advisory firm - SEC (8/3/2017 Approved)
Mississippi
Registered Investment Advisory firm - SEC (9/6/2017 Approved)
Tennessee
Registered Investment Advisory firm - SEC (8/7/2017 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
600 University Park Place Suite 380, Birmingham, AL 35209
Mailing Address
600 University Park Place Suite 380, Birmingham, AL 35209
Phone number
(205) 262-2522
Established
Louisiana since 11/24/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
29

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
FIRST NATIONAL BANKER'S BANKSHARES, INC.PARENT COMPANY
BOUDREAUX, LAURA J.PRINCIPAL/CHIEF COMPLIANCE OFFICER/CFO/FINOP/AML OFFICER/PRINCIPAL FINANCIAL OFFICER4823412
CORTS, CHRISTIAN HAASPRESIDENT/CHIEF EXECUTIVE OFFICER/DESIGNATED PRINCIPAL/EVP/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER2581628
QUINLAN, JOSEPH FRANCIS JRMEMBER1579877

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FNBB CAPITAL MARKETS, LLC

CRD#: 132091Shreveport, LA 71101

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