Stephen Dale Morgan Ii
Professional Summary
Stephen Dale Morgan II, who also goes by Stephen Dale Morgan, Steve Morgan II, was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 1996 - 2017. Stephen had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4, Series 10, Series 9 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen Dale Morgan, Steve Morgan Ii
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
30 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
CAPITAL ONE INVESTING, LLC | SHAREBUILDER SECURITIES CORPORATION | NETSTOCK INVESTMENT CORPORATION | ING DIRECT INVESTING, INC. | CAPITAL ONE SHAREBUILDER, INC.
Contact Information
Established
Delaware since 01/01/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | — |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2006About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2006About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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