David G. Morgan
Professional summary
David Grant Conrad Morgan, who also goes by D Grant Morgan, Joseph Edward Schepise, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in South Norwalk, Connecticut.
David is registered as a RR (Registered Representative) and started their career in finance in 1990. David has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Grant Conrad Morgan's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2022 - Present
CEROS FINANCIAL SERVICES, INC.
Office #1: 50 Washington St. The Penthouse, South Norwalk, CT 06854May 31, 2017 - October 2, 2017
B. RILEY WEALTH ADVISORS, INC.
April 3, 2009 - February 4, 2022
NATIONAL SECURITIES CORPORATION
August 12, 1996 - April 1, 2009
EASTBROOK CAPITAL GROUP LLC
January 16, 1995 - October 29, 1996
NORTHEAST SECURITIES, LLC
January 30, 1991 - January 19, 1995
SANDS BROTHERS & CO., LTD.
June 5, 1990 - December 7, 1990
RODMAN & RENSHAW INC.
March 20, 1990 - June 15, 1990
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/11/2022)
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Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CEROS FINANCIAL SERVICES, INC.
CRD#: 37869 / SEC#: , 8-47955
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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