MN
Morgan S. Nalty
JOHNSON RICE & COMPANY L.L.C.
New Orleans, LA 70113
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CRD#: 1849366
MN
Professional summary
Morgan Shaw Nalty is a registered financial professional currently at JOHNSON RICE & COMPANY L.L.C. located in New Orleans, Louisiana.
Morgan is registered as a RR (Registered Representative) and started their career in finance in 1990. Morgan has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 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.
CRS (Client Relationship Summary) - BD
Click below to view Morgan Shaw Nalty'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®
NoneExperience
Current
January 11, 1993 - Present
JOHNSON RICE & COMPANY L.L.C.
Office #1: 639 Loyola Avenue Suite 2775, New Orleans, LA 70113BD
CRD#: 19524
New Orleans, LA
Past
October 1, 1990 - February 9, 1993
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
May 24, 1990 - January 22, 1991
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Connecticut(10/12/1995)
RR
Florida(6/21/2004)
RR
Georgia(8/17/1995)
RR
Illinois(9/8/1995)
RR
Louisiana(1/11/1993)
RR
Maryland(8/24/1995)
RR
New Jersey(10/17/1995)
RR
New York(7/17/1995)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
JR
JOHNSON RICE & COMPANY L.L.C.
JOHNSON RICE & COMPANY | LESLIE ASSOCIATES | JOHNSON RICE & COMPANY L.L.C.
CRD#: 19524 / SEC#: , 8-37567
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
639 Loyola Avenue-ste 2775, New Orleans, LA 70113-7105
Mailing Address
639 Loyola Avenue-ste 2775, New Orleans, LA 70113
Phone number
(504) 584-1229
Established
Louisiana since 06/01/1987
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARBONNET, JOSEPH STOREY | MEMBER/SALES MANAGER | 2456551 |
| CULICCHIA, LEONARD PETER | MEMBER | 1912845 |
| CUMMINGS, JOSHUA CRAIG | MEMBER/HEAD OF CORPORATE FINANCE | 2971569 |
| NALTY, MORGAN SHAW | MEMBER | 1849366 |
| ROWAN, JOHN FORNEY JR | MEMBER | 2262387 |
| SHERIDAN, MARK | MEMBER | 2316138 |
| VARISCO JR, PAUL JOSEPH | MEMBER | 4376671 |
| VARISCO, VINNIE RAMEL | MEMBER/HEAD OF TRADING | 2707435 |
| CUMMINGS, CLAYTON PAUL | MEMBER | 4897142 |
| GREEN, GEORGE ROBBERT | MEMBER | 1090141 |
| GUNDLACH, MARK LEWIS | MEMBER | 3100859 |
| MALLOY, MARTIN WHITTIER | MEMBER/HEAD OF RESEARCH/CHIEF FINANCIAL OFFICER | 2423461 |
| MARCOTTE, BRIAN TROY | CHIEF COMPLIANCE OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 1182101 |
| MEADE, CHARLES ARTHUR | MEMBER | 5587028 |
| SEREMET, JOSEPH JOHN III | MEMBER | 4990513 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
| Bond | 1 |
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
JOHNSON RICE & COMPANY L.L.C.
CRD#: 19524New Orleans, LA 70113TRUST BUT VERIFY
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