Morgan T. Gough

STONEMARK WEALTH MANAGEMENT

FLOWER MOUND, TX

Some features on this profile are disabled

CRD#: 2197548

Professional summary

Morgan Thomas Gough is a registered financial advisor currently at STONEMARK WEALTH MANAGEMENT located in Flower Mound, Texas and ARKENSTONE FINANCIAL, LLC located in Flower Mound, Texas.

Morgan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Morgan has worked at 12 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Morgan Thomas Gough's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 21, 2011 - Present

STONEMARK WEALTH MANAGEMENT

RIA

CRD#: 158413

FLOWER MOUND, TX

Current

May 22, 2012 - Present

ARKENSTONE FINANCIAL, LLC

RIA

CRD#: 153530

Flower Mound, TX

Past

January 20, 2012 - January 24, 2012

ARKENSTONE FINANCIAL, LLC

RIA

CRD#: 153530

LA QUINTA, CA

Past

May 17, 2011 - August 17, 2011

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

PASADENA, CA

Past

May 17, 2011 - April 30, 2012

GIRARD SECURITIES, INC.

CRD#: 18697

PASADENA, CA

Past

June 2, 2010 - May 2, 2011

SENTINEL SECURITIES, LLC.

CRD#: 110942

PASENDA, CA

Past

September 23, 2009 - January 11, 2012

WESPAC ADVISORS, LLC

RIA

CRD#: 148242

PASADENA, CA

Past

December 16, 2008 - July 7, 2009

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

BEVERLY HILLS, CA

Past

December 10, 2008 - July 7, 2009

HILLTOP SECURITIES INC.

CRD#: 6220

BEVERLY HILLS, CA

Past

July 27, 2004 - July 6, 2009

TOWER ASSET MANAGEMENT LLC

RIA

CRD#: 107919

BEVERLY HILLS, CA

Past

March 22, 2000 - April 3, 2009

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Past

February 21, 1997 - June 6, 1998

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

August 9, 1995 - February 10, 1997

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

February 1, 1994 - August 7, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 16, 1991 - February 2, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STONEMARK WEALTH MANAGEMENT

STONEMARK WEALTH MANAGEMENT | WESPAC ADVISORS SOCAL, LLC

CRD#: 158413 / SEC#: 801-77286

RIA

Registered Investment Advisory firm - (11/8/2012 Approved)

California

Registered Investment Advisory firm - (11/21/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(9/21/2011)

IAR

Texas
(9/30/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/24/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/13/1991

General Securities Representative Examination

Current Firm

STONEMARK WEALTH MANAGEMENT

STONEMARK WEALTH MANAGEMENT | WESPAC ADVISORS SOCAL, LLC

CRD#: 158413 / SEC#: 801-77286

RIA

Registered Investment Advisory firm - (11/8/2012 Approved)

California

Registered Investment Advisory firm - (11/21/2012 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

225 S. Lake Avenue Suite 1170, Pasadena, CA 91101

Mailing Address

Phone number

(626) 304-9888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESPAC ADVISORS SOCAL, LLC FORM ADV PART 2A (12/11/2025)

Regulatory assets under management

Total Number of Accounts	853
AUM (Assets Under Management)	$ 516,309,155

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Morgan T. Gough

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Morgan Thomas Gough's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEMARK WEALTH MANAGEMENT

ARKENSTONE FINANCIAL, LLC

ARKENSTONE FINANCIAL, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

SENTINEL SECURITIES, LLC.

WESPAC ADVISORS, LLC

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

TOWER ASSET MANAGEMENT LLC

M.L. STERN & CO., LLC.

CHARLES SCHWAB & CO., INC.

GRIFFIN FINANCIAL SERVICES

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

STONEMARK WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 1/24/1992

Series 7

Date: 12/13/1991

Current Firm

STONEMARK WEALTH MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STONEMARK WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors