Michael D. 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.
Michael Dale Morgan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 4 firms and has passed the Series 65, Series 63, Series 7 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
July 12, 2000 - October 9, 2001
MORTON CLARKE INC.
November 22, 1996 - July 17, 2000
VANGUARD CAPITAL
June 11, 1993 - November 29, 1996
UBS FINANCIAL SERVICES INC.
February 28, 1991 - May 20, 1993
GLOBAL CAPITAL SECURITIES CORPORATION
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
Current Firm
MORTON CLARKE INC.
CRD#: 37182 / SEC#: 801-56495, 8-47646
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORTON, JOHN SAINSBURY | SHAREHOLDER | 341120 |
| CLARKE, STEPHEN SYDENHAM | SHAREHOLDER | 48072 |
| MORTON, TRENTON KROEGER | SHAREHOLDER | 2770360 |
| BRENNER, MARY SUSAN | SHAREHOLDER | 1355148 |
| DESHON, LOREN IRVIN | SHAREHOLDER | 730531 |
| HURD, PATRICIA LEE | CHIEF COMPLIANCE OFFICER - BROKERAGE, CCO - IA, SECRETARY | 3201269 |
| LAFROMBOIS, NOLAN RYAN | SHAREHOLDER, CFO, TREASURER | 4263393 |
Red Flags
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