Deann 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.
Deann Dubey Morgan, who also goes by Deann Marie Dubey, Deann D Morgan, was a registered financial professional .
Deann is a previously registered financial professional and started their career in finance in 1993. Deann had worked at 5 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 3, 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
December 3, 2019 - June 5, 2023
NUVEEN SECURITIES, LLC
November 15, 2018 - December 11, 2019
ALPHAMAX DISTRIBUTORS, L.L.C.
October 21, 2013 - January 11, 2017
BLACKSTONE SECURITIES PARTNERS L.P.
February 26, 2009 - September 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 1999 - September 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 13, 1993 - August 5, 1996
ALARON 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
