Herbert W. Morgan

CANTOR FITZGERALD INVESTMENT ADVISORS

New York, NY 10022

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CRD#: 1770152

Professional summary

Herbert William Morgan, who also goes by Herb William Morgan Jr, Herb William Morgan, Herb Morgan, Herbert William Morgan III, Herbert William Morgan Jr, is a registered financial advisor currently at CANTOR FITZGERALD INVESTMENT ADVISORS located in New York, New York.

Herbert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Herbert has worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Herb William Morgan Jr | Herb William Morgan | Herb Morgan | Herbert William Morgan Iii | Herbert William Morgan Jr

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.

1) THETA CHI INVESTMENT HOLDING COMPANY; INVESTMENT RELATED; 865 WEST CARMEL DRIVE CARMEL, IN 46032; HOLDING COMPANY FOR THE INVESTMENT ASSETS OF THETA CHI FRATERNITY, INC.; MEMBER OF THE BOARD OF DIRECTORS OF THETA CHI FRATERNITY, INC. IN THE MIDST OF AN ASSET PROTECTION RESTRUCTURING.; DIRECTOR; 01/01/2021; .2 HRS/MTH; 0 HRS DURING TRADING HOURS 2) WILDCAT BROTHERS AT GATOR COVE, INC; 2601 SE EVANGELINE TRWY, LAFAYETTE, LA; NON-INVESTMENT RELATED; START DATE: 11/12/2020; RUM DISTILLERY; DIRECTOR / QUARTERLY MEETINGS; BOARD OF DIRECTORS; 2 HOURS DEVOTED TO BUSINESS PER MONTH; 0 HOURS DEVOTED TO BUSINESS DURING TRADING HOURS. 3) HOPEFUL SUSPENSE LLC; INVESTMENT RELATED; 8035 CACHE DRIVE #10 PARK CITY, UT 84060; START DATE: 11/27/2024; OWNER MANAGER; HOLDING COMPANY FOR MY PERSONAL INVESTMENTS; 5 HOURS DEVOTED TO BUSINESS PER MONTH; 1 HOURS DEVOTED TO BUSINESS DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

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

March 10, 2017 - Present

CANTOR FITZGERALD INVESTMENT ADVISORS

Office #1: 110 East 59th Street 7th Floor, New York, NY 10022

RIA

CRD#: 159296

New York, NY

Past

March 24, 2017 - October 10, 2017

EFFICIENT MARKET ADVISORS, LLC

RIA

CRD#: 132188

LA JOLLA, CA

Past

September 3, 2004 - March 24, 2017

EFFICIENT MARKET ADVISORS, LLC

RIA

CRD#: 132188

LA JOLLA, CA

Past

December 17, 2002 - January 2, 2004

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

December 17, 2002 - January 2, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

August 16, 2000 - November 25, 2002

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

August 17, 1999 - November 16, 1999

NORTHSTAR DISTRIBUTORS, INC.

CRD#: 20863

STAMFORD, CT

Past

July 2, 1996 - May 2, 2000

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

December 11, 1990 - July 10, 1996

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

January 30, 1990 - December 11, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 21, 1988 - February 21, 1990

J. T. MORAN & CO., INC.

CRD#: 15655

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA

Registered Investment Advisory firm - (11/15/2011 Approved)

Delaware

Registered Investment Advisory firm - (5/22/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/10/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/13/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/1/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/3/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/19/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/26/1996

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 7/12/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA

Registered Investment Advisory firm - (11/15/2011 Approved)

Delaware

Registered Investment Advisory firm - (5/22/2018 Terminated)

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Contact information

Main Address

110 East 59th Street 7th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 915-1722

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CFIA ADV PART 2 & 2B 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,286
AUM (Assets Under Management)	$ 2,384,816,869

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.

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Advisor Monitoring

Firm Stability Insights

Herbert W. Morgan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

EFFICIENT MARKET ADVISORS, LLC

EFFICIENT MARKET ADVISORS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BNY MELLON SECURITIES CORPORATION

NORTHSTAR DISTRIBUTORS, INC.

VOYA INVESTMENTS DISTRIBUTOR, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

MORGAN STANLEY DW INC.

J. T. MORAN & CO., INC.

Primary Firm SEC Registration

CANTOR FITZGERALD INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/13/2000

Series 63

Date: 2/1/1989

Series 3

Date: 10/3/1990

Series 7

Date: 11/19/1988

Series 24

Date: 11/26/1996

Series 8

Date: 7/12/1995

Current Firm

CANTOR FITZGERALD INVESTMENT ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CANTOR FITZGERALD INVESTMENT ADVISORS

TRUST BUT VERIFY

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