James P. Morgan
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.
James Patrick Morgan, who also goes by Jim Morgan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2004 - December 31, 2020
JPM FINANCIAL ADVISORS INC
April 9, 2002 - May 13, 2004
MUTUAL SERVICE CORPORATION
March 13, 2002 - May 13, 2004
MUTUAL SERVICE CORPORATION
December 14, 1993 - March 20, 2002
SECURITIES AMERICA, INC.
July 13, 1988 - November 30, 1993
IDS LIFE INSURANCE COMPANY
July 13, 1988 - November 30, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
October 10, 1983 - September 26, 1988
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
JPM FINANCIAL ADVISORS INC
CRD#: 131791 / SEC#:
Contact information
Red Flags
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