WM
William F. Morton
LANTERN WEALTH ADVISORS
Tinton Falls, NJ 07724
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CRD#: 1132737
WM
Professional summary
William F Xavier Morton, who also goes by William Xavier Morton, is a registered financial advisor currently at LANTERN WEALTH ADVISORS, LLC located in Tinton Falls, New Jersey and HEROLD & LANTERN INVESTMENTS, INC. located in Tinton Falls, New Jersey.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. William has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 14, Series 8, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Xavier Morton
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.
EFFECTIVE 02/24/2012 INVESTMENT ADVISOR REP WITH LANTERN WEALTH ADVISORS, LLC. HEAD2WUARTERS LOCATED AT 35 PINELAWN ROAD MELVILLE, NY. DUTIES WILL BE LIMITED TO ACTING AS AN INVESTMENT ADVISOR. EXPECTED TO SPEND 20 HOURS / MONTH ALL OF WHICH ARE DEXPECTED TO BE DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view William F Xavier Morton's 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®
NoneExperience
Current
February 27, 2012 - Present
LANTERN WEALTH ADVISORS, LLC
Office #1: 788 Shrewsbury Ave Suite 2239, Tinton Falls, NJ 07724RIA
CRD#: 147420
Tinton Falls, NJ
Current
August 2, 2004 - Present
HEROLD & LANTERN INVESTMENTS, INC.
Office #1: 788 Shrewsbury Avenue Suite 2239 And 2237, Tinton Falls, NJ 07724BD
CRD#: 30996
Tinton Falls, NJ
Past
July 31, 1990 - August 2, 2004
TRADEX BROKERAGE SERVICE, INC.
BD
CRD#: 8028
NEW YORK, NY
Past
May 25, 1983 - July 16, 1990
TRADEX BROKERAGE SERVICE, INC.
BD
CRD#: 8028
NEW YORK, NY
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".
LW
LANTERN WEALTH ADVISORS, LLC
LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC
CRD#: 147420 / SEC#: 801-79035
RIA
Registered Investment Advisory firm - (1/15/2014 Approved)California
Registered Investment Advisory firm - (2/16/2014 Terminated)New Jersey
Registered Investment Advisory firm - (2/10/2014 Terminated)New York
Registered Investment Advisory firm - (1/17/2014 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(1/15/2009)
IAR
California(2/27/2012)
RR
Colorado(8/13/2004)
RR
Connecticut(8/2/2004)
RR
Florida(8/2/2004)
RR
Illinois(8/2/2004)
RR
Louisiana(9/8/2004)
RR
Maryland(8/2/2004)
RR
Massachusetts(8/2/2004)
RR
Nevada(3/6/2012)
RR
New Jersey(8/2/2004)
RR
New York(8/2/2004)
RR
North Carolina(8/2/2004)
RR
Pennsylvania(8/2/2004)
RR
Texas(8/2/2004)
RR
Vermont(8/17/2004)
RR
Virginia(8/2/2004)
RR
Washington(6/8/2023)
RR
West Virginia(1/15/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/26/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/26/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LW
LANTERN WEALTH ADVISORS, LLC
LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC
CRD#: 147420 / SEC#: 801-79035
RIA
Registered Investment Advisory firm - (1/15/2014 Approved)California
Registered Investment Advisory firm - (2/16/2014 Terminated)New Jersey
Registered Investment Advisory firm - (2/10/2014 Terminated)New York
Registered Investment Advisory firm - (1/17/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
Phone number
(631) 454-2000
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 379 |
| AUM (Assets Under Management) | $ 265,466,991 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LANTERN WEALTH ADVISORS, LLC
CRD#: 147420Tinton Falls, NJ 07724TRUST BUT VERIFY
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Contact information
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