Larry 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.
Larry Phillip Morgan, who also goes by Larry Philip Morgan, Phil Morgan, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1985. Larry had worked at 4 firms and has passed the Series 63, SIE 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
February 26, 1999 - December 31, 2021
THE O.N. EQUITY SALES COMPANY
March 19, 1987 - December 21, 1987
NEW ENGLAND SECURITIES
July 3, 1986 - March 5, 1987
CONSECO FINANCIAL SERVICES, INC.
August 23, 1985 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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