Timothy J. Morgan

TERRANOVA CAPITAL EQUITIES,

New York, NY 10170

Some features on this profile are disabled

CRD#: 1312743

Professional summary

Timothy John Morgan, who also goes by Timothy J Morgan, Timothy Morgan, is a registered financial professional currently at TERRANOVA CAPITAL EQUITIES, INC located in New York, New York.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 1984. Timothy has worked at 14 firms and has passed the Series 63, Series 82TO, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Timothy J Morgan | Timothy 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) - BD

Click below to view Timothy John Morgan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 3, 2025 - Present

TERRANOVA CAPITAL EQUITIES, INC

Office #1: 420 Lexington Avenue Suite 1402, New York, NY 10170

CRD#: 45097

New York, NY

Past

January 24, 2024 - April 3, 2025

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

Manhattan Beach, CA

Past

October 4, 2019 - December 31, 2023

COMMONGOOD SECURITIES LLC

CRD#: 289317

Manhattan Beach, CA

Past

June 7, 2017 - September 30, 2019

FRONTIER SOLUTIONS, LLC

CRD#: 136102

RICHMOND, VA

Past

December 5, 2013 - January 13, 2016

LIQUIDNET, INC.

CRD#: 103987

San Francisco, CA

Past

November 8, 2011 - September 4, 2013

ASCENDIANT CAPITAL MARKETS, LLC

CRD#: 152912

JUPITER, FL

Past

July 11, 2007 - November 16, 2009

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097

NEW YORK, NY

Past

January 20, 2004 - August 16, 2005

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

August 1, 2001 - May 27, 2005

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 24, 2000 - August 1, 2001

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

SAN FRANCISCO, CA

Past

July 20, 1998 - January 24, 2000

VOLPE BROWN WHELAN & COMPANY, LLC

CRD#: 18329

SAN FRANCISCO, CA

Past

March 2, 1997 - June 22, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

December 17, 1985 - February 12, 1997

ROBERTSON, STEPHENS & COMPANY LLC

CRD#: 7730

SAN FRANCISCO, CA

Past

November 22, 1985 - January 7, 1986

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

October 26, 1984 - October 3, 1985

UBS FINANCIAL SERVICES INC.

CRD#: 8174

State Registrations and Notice Filings

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

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

California
(4/3/2025)

New York
(4/3/2025)

Exams

State Security Law Exam

Series 63

Date: 11/28/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 4/3/2025

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 11/30/2015

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 5/22/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097 / SEC#: , 8-50973

Broker-Dealer Firm Regulated by FINRA (New York 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

420 Lexington Avenue Suite 1402, New York, NY 10170

Mailing Address

420 Lexington Avenue Suite 1402, New York, NY 10170

Phone number

(212) 381-7391

Established

Delaware since 03/18/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (39 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TERRANOVA CAPITAL PARTNERS, INC.	SHAREHOLDER
CERNY, CRAIG JONATHAN	CHIEF EXECUTIVE OFFICER	1538404
GELB, PETER RICHARD	COO/CFO	2542816
GOODE, JACQUELINE MARIE	CCO	1292607
MATTERA, RICHARD JOSEPH	FINANCIAL OPERATIONS OFFICER	2246513
STEINMETZ, JOHN FRANCIS	CHAIRMAN & PRESIDENT	1132822

Disclosures

Regulatory Event

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Timothy J. Morgan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy John Morgan's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

COMMONGOOD SECURITIES LLC

FRONTIER SOLUTIONS, LLC

LIQUIDNET, INC.

ASCENDIANT CAPITAL MARKETS, LLC

TERRANOVA CAPITAL EQUITIES, INC

RBC CAPITAL MARKETS CORPORATION

RBC CAPITAL MARKETS, LLC

W.R. HAMBRECHT + CO., LLC

VOLPE BROWN WHELAN & COMPANY, LLC

UBS SECURITIES LLC

ROBERTSON, STEPHENS & COMPANY LLC

THOMSON MCKINNON SECURITIES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/28/1984

Series 82TO

Date: 4/3/2025

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1984

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 24

Date: 11/30/2015

Series 8

Date: 5/22/1997

FINRA

Current Firm

TERRANOVA CAPITAL EQUITIES, INC

Contact information

FINRA licenses (39 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TERRANOVA CAPITAL EQUITIES, INC

TRUST BUT VERIFY

Similar Advisors