James H. Morgenthal
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.
James Henry Morgenthal, who also goes by James H Morgenthal, James Morgenthal, Jim Morgenthal, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2006 - December 9, 2014
SCF SECURITIES, INC.
February 25, 2003 - May 2, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 4, 2002 - February 26, 2003
LPL FINANCIAL LLC
January 8, 1999 - August 30, 2002
BRECEK & YOUNG ADVISORS, INC.
May 23, 1996 - December 31, 1998
NATIONAL PLANNING CORPORATION
June 6, 1994 - December 31, 1995
WMA SECURITIES, INC.
May 26, 1994 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, 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
Current Firm
SCF SECURITIES, INC.
CRD#: 47275 / SEC#: , 8-51760
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
