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JM

James B. Morgan

Some features on this profile are disabled
CRD#: 1284341
JM

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 Bennett Morgan was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1984. James had worked at 1 firm and has passed the Series 63, Series 22 and Series 39 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)

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

November 8, 1984 - May 13, 1988

GWIN/SLAUGHTER SECURITIES, INC.

BD
CRD#: 15371

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: 12/8/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 12/6/1983
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 1/16/1984
Direct Participation Programs Principal Examination

Current Firm

GS
GWIN/SLAUGHTER SECURITIES, INC.
GWIN/SLAUGHTER SECURITIES, INC.

CRD#: 15371 / SEC#: , 8-32047

BD
Cancelled by FINRA on 05/13/1988
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 01/09/1984
Firm type
Corporation
Fiscal year end
# of Employees

Documents

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

GWIN/SLAUGHTER SECURITIES, INC.

CRD#: 15371

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