Connor C. Morganti
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.
Connor Catherine Morganti, who also goes by Connor Catherine Johnson, was a registered financial professional .
Connor is a previously registered financial professional and started their career in finance in 1999. Connor had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2022 - July 16, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 4, 2022 - July 16, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 19, 2014 - April 1, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 19, 2014 - April 1, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 2, 2014 - December 10, 2014
CASH APP INVESTING LLC
February 21, 2014 - December 10, 2014
CASH APP INVESTING LLC
January 11, 2012 - December 31, 2012
ON INVESTMENT MANAGEMENT CO
January 11, 2012 - December 31, 2012
THE O.N. EQUITY SALES COMPANY
October 19, 2010 - December 31, 2011
ON INVESTMENT MANAGEMENT CO
October 21, 2009 - December 31, 2011
THE O.N. EQUITY SALES COMPANY
July 16, 2008 - October 22, 2009
AMERICAN PORTFOLIOS ADVISORS, INC
June 10, 2008 - October 21, 2009
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 21, 2008 - April 30, 2008
BERKSHIRE ADVISORS, INC.
January 11, 2007 - April 11, 2008
PURSHE KAPLAN STERLING INVESTMENTS
April 18, 2006 - January 23, 2007
VOYA FINANCIAL ADVISORS, INC.
November 16, 2004 - November 29, 2005
VOYA FINANCIAL ADVISORS, INC.
September 24, 2002 - October 24, 2002
OSAIC WEALTH, INC.
April 19, 2001 - February 13, 2002
MML INVESTORS SERVICES, LLC
March 4, 1999 - May 3, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
