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JM

John D. Morgan

Some features on this profile are disabled
CRD#: 1593396
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.

John David Morgan was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1986. John had worked at 12 firms and has passed the Series 63 and Series 7 exams.

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

May 10, 1996 - November 26, 1996

SAPERSTON FINANCIAL INC.

BD
CRD#: 27863
BUFFALO, NY
Past

August 23, 1995 - January 10, 1996

FIRST ASSOCIATED SECURITIES GROUP, INC.

BD
CRD#: 20597
CHICO, CA
Past

August 11, 1994 - September 6, 1995

DONALD & CO. SECURITIES INC.

BD
CRD#: 7776
TINTON FALLS, NJ
Past

January 4, 1994 - February 7, 1994

R.J. TELESE & COMPANY

BD
CRD#: 23341
SARASOTA, FL
Past

January 4, 1994 - August 11, 1994

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

March 15, 1993 - October 26, 1993

WORLD INVEST CORPORATION

BD
CRD#: 17223
DEERFIELD BEACH, FL
Past

June 30, 1992 - January 25, 1993

R.B. WEBSTER INVESTMENTS, INC.

BD
CRD#: 19273
Past

April 30, 1991 - June 25, 1992

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

January 26, 1990 - May 2, 1991

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

November 13, 1989 - November 30, 1989

ADAMS SECURITIES, INC.

BD
CRD#: 16688
Past

January 3, 1989 - November 29, 1989

MARSHALL DAVIS, INC.

BD
CRD#: 16278
Past

January 2, 1987 - January 6, 1989

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

December 26, 1986 - January 2, 1987

MICHELIN AND COMPANY, INC.

BD
CRD#: 14447

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: 11/21/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1986
General Securities Representative Examination

Current Firm

SF
SAPERSTON FINANCIAL INC.
SAPERSTON FINANCIAL GROUP, INC. | SAPERSTON FINANCIAL INC.

CRD#: 27863 / SEC#: , 8-43265

BD
Terminated by SEC on 02/27/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/08/1990
Firm type
Corporation
Fiscal year end
December
# 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

SAPERSTON FINANCIAL INC.

CRD#: 27863

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