Albert C. 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.
Albert Cannon Morgan, who also goes by Cannon Morgan, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1997. Albert had worked at 8 firms and has passed the Series 65, 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
January 30, 2017 - February 15, 2018
M HOLDINGS SECURITIES, INC.
January 30, 2017 - February 15, 2018
M HOLDINGS SECURITIES, INC.
March 10, 2015 - February 9, 2017
PARK AVENUE SECURITIES LLC
March 10, 2015 - February 9, 2017
PARK AVENUE SECURITIES LLC
January 13, 2014 - March 5, 2015
EQUITY SERVICES, INC.
January 13, 2014 - March 5, 2015
EQUITY SERVICES, INC.
August 14, 2013 - January 3, 2014
PARK AVENUE SECURITIES LLC
August 5, 2013 - January 3, 2014
PARK AVENUE SECURITIES LLC
May 27, 2011 - December 31, 2012
EQUITY SERVICES, INC.
May 27, 2011 - December 31, 2012
EQUITY SERVICES, INC.
March 19, 2008 - May 10, 2011
EAGLE STRATEGIES LLC
November 9, 2007 - May 10, 2011
NYLIFE SECURITIES LLC
October 5, 2006 - November 1, 2007
EQUITY SERVICES, INC.
March 13, 2002 - November 1, 2007
EQUITY SERVICES, INC.
April 3, 2001 - February 15, 2002
JBS LIBERTY SECURITIES, INC.
September 25, 2000 - May 1, 2001
BB&T INVESTMENT SERVICES, INC.
March 3, 1997 - October 28, 1999
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
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
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M FINANCIAL HOLDINGS INCORPORATED | EQUITY OWNER | |
| HANEY-JACKSON, LAURA ELIZABETH | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 4771801 |
| LUDWIG, STEVEN CHARLES | CHIEF COMPLIANCE OFFICER | 2440911 |
| ROGERS, MARIA RENEE | PRINCIPAL FINANCIAL OFFICER | 2442526 |
| SCHOONMAKER, MICHAEL SKI | CHIEF EXECUTIVE OFFICER | 2408456 |
Regulatory assets under management
| Total Number of Accounts | 8,234 |
| AUM (Assets Under Management) | $ 4,078,516,284 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 11/13/2024 | ||
| 08/28/2023 |
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.
