AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
EM

Elizabeth A. Morgan

CITIZENS JMP SECURITIES
Philadelphia, PA 19103
Some features on this profile are disabled
CRD#: 2374559
EM

Professional summary

Elizabeth Anne Morgan is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in Philadelphia, Pennsylvania.

Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 1993. Elizabeth has worked at 11 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Elizabeth Anne Morgan'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

August 1, 2023 - Present

CITIZENS JMP SECURITIES, LLC

Office #1: One Logan Square 130 North 18th Street, Ste 1310, Philadelphia, PA 19103
BD
CRD#: 22208
Philadelphia, PA
Past

April 3, 2019 - August 1, 2023

CITIZENS CAPITAL MARKETS

BD
CRD#: 277073
Philadelphia, PA
Past

November 2, 2011 - July 28, 2017

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
PHILADELPHIA, PA
Past

June 13, 2005 - December 31, 2008

PNC CAPITAL MARKETS LLC

BD
CRD#: 15647
PITTSBURGH, PA
Past

December 9, 2003 - January 5, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PHILADELPHIA, PA
Past

November 6, 2003 - January 5, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 18, 2002 - November 14, 2003

QUICK & REILLY, INC.

RIA
CRD#: 11217
PHILADELPHIA, PA
Past

November 18, 2002 - November 14, 2003

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

January 13, 2001 - February 20, 2002

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 1, 1997 - January 13, 2001

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

June 21, 1995 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20
Past

November 11, 1993 - July 3, 1995

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 11, 1993 - July 3, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
Pennsylvania
(8/1/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 1/13/2012
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/14/1997
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/1/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CJ
CITIZENS JMP SECURITIES, LLC
CITIZENS | TRINITY CAPITAL | MITCHUM, JONES & TEMPLETON, INC. | JOLSON MERCHANT PARTNERS | JMP SECURITIES LLC | JMP SECURITIES | DH CAPITAL | CITIZENS M&A ADVISORY | CITIZENS JMP SECURITIES, LLC | CITIZENS JMP | CITIZENS CAPITAL MARKETS & ADVISORY | CITIZENS CAPITAL MARKETS

CRD#: 22208 / SEC#: , 8-39613

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
101 California Street Ste 1700, San Francisco, CA 94111
Mailing Address
101 California Street Ste 1700, San Francisco, CA 94111
Phone number
(415) 835-8900
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JMP HOLDING LLCPARENT COMPANY
CONROY, WALTER IVORGENERAL COUNSEL6641487
GREGORY, JOHNPRESIDENT4600619
JACKSON, RAYMOND SIVACHIEF FINANCIAL OFFICER5563363
MANNING, SIMON STONESENIOR REGISTERED OPTIONS PRINCIPAL (SROP)1941279
MCLAUGHLIN, BRENDANCHIEF COMPLIANCE OFFICER2562815
O'DAY, JAMES CORTLANDHEAD OF EQUITIES5618215
SLADER, GAVIN WILLEYHEAD OF INVESTMENT BANKING4130019
SPURR, JEFFREY HOLMESHEAD OF RESEARCH1384716
SUCHY, GREGORY JOHNCHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER5907019
WHITEHEAD, AIDAN PETERHEAD OF TRADING & SALES TRADING2474257
XIAO, ZHUO VIVIAN XUANFINOP5121578

Disclosures

Regulatory Event6

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

CITIZENS JMP SECURITIES, LLC

CRD#: 22208Philadelphia, PA 19103

TRUST BUT VERIFY

Monitor Elizabeth Morgan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Paul B Mullen
Paul MullenAdvisorCheck Check Mark
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IAR
RR
Horsham, PA
Boris Niko
Boris NikoAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Feasterville, PA
Dustin Michael Willing
Dustin WillingAdvisorCheck Check Mark
KESTRA ADVISORY SERVICES, LLC
IAR
RR
Wayne, PA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.