Lon Morton
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.
Lon Morton, who also goes by Lon (nmn) Morton, was a registered financial professional .
Lon is a previously registered financial professional and started their career in finance in 1989. Lon had worked at 6 firms and has passed the Series 63, Series 62, Series 22, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2006 - November 22, 2019
MORTON WEALTH
February 21, 2001 - December 20, 2002
INVESTMENT SECURITY CORPORATION
July 8, 1997 - September 27, 2006
MORTON MANAGEMENT, INC.
August 16, 1996 - April 26, 2000
OGILVIE SECURITY ADVISORS CORPORATION
March 18, 1994 - November 8, 1996
FSC SECURITIES CORPORATION
July 11, 1989 - March 3, 1994
CALIFORNIA CAPITAL SERVICES, INC.
Primary Firm SEC Registration
MORTON WEALTH
CRD#: 141250 / SEC#: 801-67025
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 62
Date: 2/27/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
MORTON WEALTH
CRD#: 141250 / SEC#: 801-67025
Contact information
SEC notice filing (17 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,622 |
| AUM (Assets Under Management) | $ 2,956,328,474 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/31/2025 | ||
| 10/30/2023 | ||
| 06/21/2023 | ||
| 02/14/2023 | ||
| 11/28/2022 |
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.
