Eugene R. 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.
Eugene Robert Morgan was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1987. Eugene had worked at 9 firms and has passed the Series 63, SIE 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
January 25, 2018 - August 23, 2021
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
November 28, 2006 - November 29, 2017
NATIONAL PLANNING CORPORATION
January 24, 2002 - December 5, 2006
INVESTACORP, INC.
December 14, 2001 - December 20, 2001
CADARET, GRANT & CO., INC.
December 1, 1998 - December 13, 2001
THE INVESTMENT CENTER, INC.
March 22, 1993 - December 15, 1998
IDS LIFE INSURANCE COMPANY
March 22, 1993 - December 15, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
October 9, 1989 - October 30, 1991
PRUDENTIAL EQUITY GROUP, LLC
January 1, 1987 - October 18, 1989
MORGAN STANLEY DW INC.
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
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
CRD#: 130390 / SEC#: , 8-66335
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETHINK, LLC | OWNER | |
| ATKINS, BRADLEY DALE | OWNER | 2963790 |
| SHANAHAN, DANIEL JAMES | CHIEF EXECUTIVE OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | PRINCIPAL OPERATIONS OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | CHIEF COMPLIANCE OFFICER | 3277912 |
| WOODWARD, CASSANDRA TALEEN | CHIEF FINANCIAL OFFICER | 2956369 |
| WOODWARD, CASSANDRA TALEEN | PRINCIPAL FINANCIAL OFFICER & FINOP | 2956369 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
