Michael W. Morgan

DV SECURITIES

New York, NY 10014

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CRD#: 1686881

Professional summary

Michael William Morgan, who also goes by Michael W Morgan, Mike Morgan, Michael William Morgan, is a registered financial professional currently at DV SECURITIES, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael W Morgan | Mike Morgan | Michael William 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 Michael William Morgan's 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

August 11, 2025 - Present

DV SECURITIES, LLC

Office #1: 395 Hudson Street Suite 701, New York, NY 10014

CRD#: 305134

New York, NY

Past

January 10, 2023 - July 22, 2025

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081

PHILADELPHIA, PA

Past

April 1, 2021 - December 8, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

NEW YORK, NY

Past

September 7, 2016 - June 3, 2019

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

GREENWICH, CT

Past

November 10, 2010 - June 29, 2016

CRT CAPITAL GROUP LLC

CRD#: 28830

STAMFORD, CT

Past

January 7, 2005 - October 26, 2010

FHN FINANCIAL SECURITIES CORP.

CRD#: 46346

NEW YORK, NY

Past

September 30, 1993 - January 7, 2005

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

July 25, 1987 - September 14, 1989

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

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

Connecticut
(8/11/2025)

New York
(8/11/2025)

Exams

State Security Law Exam

Series 63

Date: 5/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/8/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/18/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DV SECURITIES, LLC

CRD#: 305134 / SEC#: , 8-70393

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

425 S. Financial Place Suite 2800, Chicago, IL 60605

Mailing Address

425 S. Financial Place Suite 2800, Chicago, IL 60605

Phone number

(312) 837-0649

Established

Delaware since 05/26/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DV GROUP, LLC	MEMBER
CARLINO, ERIC JAMES	TRADING PRINCIPAL - CEO	2898311
HORGAN, RICHARD JOHN	CHIEF FINANCIAL OFFICER	6697860
KATZ, SHIFRA	CHIEF COMPLIANCE OFFICER

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael W. Morgan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael William Morgan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CABRERA CAPITAL MARKETS, LLC

MML INVESTORS SERVICES, LLC

SEAPORT GLOBAL SECURITIES LLC

CRT CAPITAL GROUP LLC

FHN FINANCIAL SECURITIES CORP.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

HSBC SECURITIES (USA) INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/13/1996

SIE

Date: 10/1/2018

Series 7

Date: 2/8/1994

Series 24

Date: 11/18/1999

FINRA

Current Firm

DV SECURITIES, LLC

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

DV SECURITIES, LLC

TRUST BUT VERIFY

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