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JM

Jonathan M. Morgan

HOLDERNESS INVESTMENTS CO
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 2789505
JM

Professional summary

Jonathan Michael Morgan, who also goes by Jon Michael Morgan, is a registered financial advisor currently at HOLDERNESS INVESTMENTS CO located in Charlotte, North Carolina.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Jonathan has worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jon Michael Morgan

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Michael Morgan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 23, 2024 - Present

HOLDERNESS INVESTMENTS CO

Office #1: 5960 Fairview Road Suite 100-a, Charlotte, NC 28210
RIA
CRD#: 106530
Charlotte, NC
Past

September 16, 2022 - February 21, 2024

MCSHANE PARTNERS

RIA
CRD#: 107236
CHARLOTTE, NC
Past

May 30, 2013 - September 26, 2022

SIMARIAN ENTERPRISES LLC

RIA
CRD#: 167269
CHARLOTTE, NC
Past

May 28, 1997 - July 6, 2000

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY
Past

November 14, 1996 - May 9, 1997

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HI
HOLDERNESS INVESTMENTS CO
HOLDERNESS INVESTMENTS CO

CRD#: 106530 / SEC#: 801-49875

RIA
Registered Investment Advisory firm - (8/14/1995 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
North Carolina
(2/23/2024)
IAR
Texas
(2/23/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/13/1996
General Securities Representative Examination

Current Firm

HI
HOLDERNESS INVESTMENTS CO
HOLDERNESS INVESTMENTS CO

CRD#: 106530 / SEC#: 801-49875

RIA
Registered Investment Advisory firm - (8/14/1995 Approved)
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Contact information

Main Address
2102 N. Elm Street Suite C, Greensboro, NC 27408
Mailing Address
Phone number
(336) 574-1400
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HOLDERNESS FORM ADV PART 2A 2022 (3/26/2025)

Regulatory assets under management

Total Number of Accounts750
AUM (Assets Under Management)$ 621,038,355

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.

Company Information

HOLDERNESS INVESTMENTS CO

CRD#: 106530Charlotte, NC 28210

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