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MM

Michael S. Morgan

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CRD#: 1218233
MM

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.

Michael Steven Morgan, who also goes by Steve Morgan, Steven Morgan, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 7 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Morgan | Steven Morgan

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)

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

January 16, 2001 - December 31, 2002

CONSOLIDATED FINANCIAL INVESTMENTS, INC.

BD
CRD#: 18810
CLAYTON, MO
Past

July 31, 2000 - October 29, 2000

CONSOLIDATED FINANCIAL INVESTMENTS, INC.

BD
CRD#: 18810
CLAYTON, MO
Past

April 3, 2000 - July 3, 2000

EISNER SECURITIES, INC.

BD
CRD#: 40585
ST. LOUIS, MO
Past

January 16, 1989 - April 3, 2000

CONSOLIDATED FINANCIAL INVESTMENTS, INC.

BD
CRD#: 18810
CLAYTON, MO
Past

September 24, 1987 - December 31, 1988

AMERICAN CAPITAL EQUITIES, INC.

BD
CRD#: 13272
Past

October 4, 1985 - September 16, 1987

OAKBRIDGE FINANCIAL SERVICES

BD
CRD#: 16323
Past

December 26, 1984 - September 10, 1985

ALVERY BARTLETT BROKERAGE CO.

BD
CRD#: 13487
Past

April 16, 1984 - January 8, 1985

WESTPORT FINANCIAL GROUP, INC.

BD
CRD#: 13048
Past

December 21, 1983 - May 3, 1984

CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.

BD
CRD#: 6577

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.

Exams

State Security Law Exam
RR
Series 63
Date: 1/12/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/22/1984
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/14/1984
Registered Options Principal Examination

Current Firm

CF
CONSOLIDATED FINANCIAL INVESTMENTS, INC.
CONSOLIDATED FINANCIAL INVESTMENTS, INC. | USA MORTGAGE SECURITIES, INC.

CRD#: 18810 / SEC#: , 8-37004

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
222 North Meramec Avenue, Clayton, MO 63105-3702
Mailing Address
222 North Meramec Avenue, Clayton, MO 63105-3702
Phone number
(314) 727-1177
Established
Missouri since 10/12/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STIFFELMAN, ALAN LOUISCHIEF COMPLIANCE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD1351661
MCCORMICK, JOSEPH ASHAREHOLDER
EVENS, RONALD GENESHAREHOLDER
BARDENHEIER, CARL CHRISTOPHER JRVICE PRESIDENT AND SECRETARY1138381

Disclosures

Regulatory Event3

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

CONSOLIDATED FINANCIAL INVESTMENTS, INC.

CRD#: 18810

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