Paul-andre J. 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.
Paul-andre John Morgan, who also goes by Paul Andre John Morgan, Paulandre John Morgan, was a registered financial professional .
Paul-andre is a previously registered financial professional and started their career in finance in 1986. Paul-andre had worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2010 - January 4, 2016
MARINER GROUP CAPITAL MARKETS, LLC
January 25, 2002 - March 9, 2009
CIBC WORLD MARKETS CORP.
July 10, 1998 - March 17, 2000
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
September 28, 1990 - August 1, 1996
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
October 23, 1986 - August 28, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
MARINER GROUP CAPITAL MARKETS, LLC
CRD#: 25878 / SEC#: , 8-42116
Contact information
FINRA licenses (4 States and Territories)
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.
