Herbert W. 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.
Herbert William Morgan, who also goes by Herb William Morgan Jr, Herb William Morgan, Herb Morgan, Herbert William Morgan III, Herbert William Morgan Jr, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1988. Herbert had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2017 - October 10, 2017
EFFICIENT MARKET ADVISORS, LLC
March 10, 2017 - March 19, 2026
CANTOR FITZGERALD INVESTMENT ADVISORS
September 3, 2004 - March 24, 2017
EFFICIENT MARKET ADVISORS, LLC
December 17, 2002 - January 2, 2004
LPL FINANCIAL LLC
December 17, 2002 - January 2, 2004
LPL FINANCIAL LLC
August 16, 2000 - November 25, 2002
BNY MELLON SECURITIES CORPORATION
August 17, 1999 - November 16, 1999
NORTHSTAR DISTRIBUTORS, INC.
July 2, 1996 - May 2, 2000
VOYA INVESTMENTS DISTRIBUTOR, LLC
December 11, 1990 - July 10, 1996
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
January 30, 1990 - December 11, 1990
MORGAN STANLEY DW INC.
December 21, 1988 - February 21, 1990
J. T. MORAN & CO., 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
Series 8
Date: 7/12/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EFFICIENT MARKET ADVISORS, LLC
CRD#: 132188 / SEC#: 801-66784
Contact information
Red Flags
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