Eric 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.
Eric David Morgan was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1995. Eric had worked at 7 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2014 - August 31, 2020
WELLS FARGO SECURITIES, LLC
March 17, 2005 - October 4, 2005
COWEN PRIME SERVICES TRADING LLC
March 15, 2005 - December 3, 2019
WELLS FARGO PRIME SERVICES, LLC
February 12, 2003 - March 30, 2005
SAL EQUITY TRADING, GP
June 14, 2002 - March 30, 2005
SUSQUEHANNA FINANCIAL GROUP, LLLP
October 1, 1997 - May 10, 2002
BANC OF AMERICA SECURITIES LLC
September 12, 1995 - October 1, 1997
MONTGOMERY SECURITIES
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 7TO
Date: 11/27/2022
General Securities Representative ExaminationSeries 99TO
Date: 11/27/2022
Operations Professional ExaminationSeries 57TO
Date: 11/27/2022
Securities Trader ExamSeries 55
Date: 10/10/2002
Limited Representative-Equity Trader ExamCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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