Tonja E. 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.
Tonja Elizabeth Morgan, CFP®, who also goes by Tonja Elizabeth Scott, Tonja Elizabeth Sepulveda, was a registered financial professional .
Tonja is a previously registered financial professional and started their career in finance in 1997. Tonja had worked at 9 firms and has passed the Series 63, Series 79TO, SIE, 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
February 26, 2024 - April 24, 2024
GULF COAST FINANCIAL ADVISORS LLC
June 16, 2023 - July 3, 2024
NEW WAY ADVISERS LLC
October 15, 2021 - October 4, 2022
B. RILEY WEALTH MANAGEMENT
September 21, 2010 - December 31, 2020
NUVEEN SECURITIES, LLC
June 9, 2005 - September 1, 2010
ARIEL DISTRIBUTORS, LLC
February 10, 2004 - May 16, 2005
OGILVIE SECURITY ADVISORS CORPORATION
February 21, 2002 - August 1, 2003
GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC.
January 30, 2002 - August 1, 2003
MARC J. LANE & COMPANY
October 24, 1997 - December 18, 2001
LPL FINANCIAL LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
GULF COAST FINANCIAL ADVISORS LLC
CRD#: 329092 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 162 |
| AUM (Assets Under Management) | $ 27,168,325 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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