Greg P. Morell

Some features on this profile are disabled

CRD#: 1060876

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Greg Paul Morell, who also goes by Greg Morell, Gregory Paul Morell, was a registered financial professional .

Greg is a previously registered financial professional and started their career in finance in 1982. Greg had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Greg Morell | Gregory Paul Morell

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.

1) 1/14/2021 - Progressive Financial Concepts - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 01/2008 2) 1/14/2021 - GREG MORELL FINANCIAL EDUCATION LLC BUSINESS CHECKING - Tax Prep/Accounting/CPA - Inv Rel - AT Reported Business Location(s) - Start: 04/2016 - 1 Hr/Mth 3) 5/11/2021 - WCG Wealth Advisors, LLC - DBA: The Wealth Consulting Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 5/10/2021 - 0 Hours Per Month/0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 23, 2021 - September 11, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

SCOTTSDALE, AZ

Past

February 23, 2021 - September 11, 2023

LPL FINANCIAL LLC

CRD#: 6413

SCOTTSDALE, AZ

Past

March 3, 2014 - February 25, 2021

OSAIC SERVICES, INC.

RIA

CRD#: 133763

SCOTTSDALE, AZ

Past

February 27, 2014 - February 25, 2021

OSAIC SERVICES, INC.

CRD#: 133763

SCOTTSDALE, AZ

Past

July 14, 1998 - March 14, 2014

NEW ENGLAND SECURITIES

CRD#: 615

PHOENIX, AZ

Past

November 17, 1995 - July 16, 1998

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

June 7, 1993 - November 21, 1995

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

November 5, 1982 - June 7, 1993

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/4/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/2001

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 1/17/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 11/4/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

California since 11/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

37,893

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LPLE OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL THIRD PARTY CO-ADVISORY OMP PROGRAM BROCHURE A12-R (10/22/2025)

LPL CUSTOM CO-ADVISORY OMP PROGRAM BROCHURE A12-EQH (10/22/2025)

LPL OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL CUSTOM CO-ADVISORY MWP PROGRAM BROCHURE A11-EQH (9/30/2025)

LPL PWP PROGRAM BROCHURE A9 (9/30/2025)

LPL RETIREMENT PLAN PROGRAMS BROCHURE A15 (9/30/2025)

LPL SAM PROGRAM BROCHURE A7 (9/30/2025)

LPL CUSTOM CO-ADVISORY MS PROGRAM BROCHURE MS302-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MWP PROGRAM BROCHURE A11-R (9/30/2025)

LPL CUSTOM CO-ADVISORY PWP PROGRAM BROCHURE A9-EQH (9/30/2025)

LPLE MS PROGRAM BROCHURE MS302 (9/30/2025)

LPLE PWP PROGRAM BROCHURE A9 (9/30/2025)

LPLE SAM PROGRAM BROCHURE A7 (9/30/2025)

LPLE MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MAS PROGRAM BROCHURE MS302-R (9/30/2025)

LPL CUSTOM CO-ADVISORY SAM I AND SAM II PROGRAM BROCHURE A7-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY PWP PROGRAM BROCHURE A9-R (9/30/2025)

LPL MS PROGRAM BROCHURE MS302 (9/30/2025)

LPL APP PROGRAM BROCHURE A16 (7/15/2025)

LPLE GUIDED WEALTH PORTFOLIOS (3/31/2025)

GUIDED WEALTH PORTFOLIOS (3/31/2025)

BANK WEALTH PROGRAM (3/31/2025)

LPL FIRM BROCHURE A58 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
AUDETTE, MATTHEW JON	PRESIDENT AND CHIEF FINANCIAL OFFICER	4003349
ENYEDI, MATTHEW KLAUS	MANAGING DIRECTOR, NATIONAL SALES	4194266
GATES, GREGORY	MANAGING DIRECTOR, CHIEF INFORMATION OFFICER	7069201
JAMBUSARIA, ANERI	MANAGING DIRECTOR LPL SERVICES GROUP	7248335
MALFITANO, STEVEN THOMAS	SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER	3178848
MCHALE, JAMES	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	6052977
RICKETTS, JUDITH KOHOSKIE	EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER	2758924
SIMONICH, BRENT BLAIN	EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER	3254859
STEINMEIER, RICHARD C	CHIEF EXECUTIVE OFFICER AND DIRECTOR	5109512

Regulatory assets under management

Total Number of Accounts	2,369,378
AUM (Assets Under Management)	$ 618,922,975,737

Disclosures

Regulatory Event	208
Arbitration	58
Bond	4

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report
07/19/2024	Cover Page	Report
11/09/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Greg P. Morell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

NEW ENGLAND SECURITIES

SUNAMERICA SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

Primary Firm SEC Registration

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/4/1982

SIE

Date: 10/1/2018

Series 7

Date: 1/20/2001

Series 22

Date: 1/17/1985

Series 6

Date: 11/4/1982

Current Firm

LPL FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL FINANCIAL LLC

TRUST BUT VERIFY

Contact information

Similar Advisors