ML
Morgan B. Lee
VANGUARD MARKETING
Malvern, PA 19355
Some features on this profile are disabled
CRD#: 2953708
ML
Professional summary
Morgan Bertram Lee, CIMA®, who also goes by Morgan B Lee, Morgan Lee, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Morgan is registered as a RR (Registered Representative) and started their career in finance in 1998. Morgan has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Morgan B Lee | Morgan Lee
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.
CRS (Client Relationship Summary) - BD
Click below to view Morgan Bertram Lee's 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®
Experience
Current
April 22, 2026 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
Malvern, PA
Past
May 8, 2024 - March 6, 2026
FORESIDE FINANCIAL SERVICES, LLC
BD
CRD#: 148477
PORTLAND, ME
Past
September 19, 2019 - April 2, 2024
DFA SECURITIES LLC
BD
CRD#: 10292
SANTA MONICA, CA
Past
September 18, 2019 - April 2, 2024
DIMENSIONAL FUND ADVISORS LP
RIA
CRD#: 106482
SANTA MONICA, CA
Past
July 27, 2018 - August 23, 2019
RESPONSIBLE WEALTH, LLC
RIA
CRD#: 297202
LAKE OSWEGO, OR
Past
December 16, 2014 - March 2, 2018
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
London,
Past
April 20, 2006 - December 31, 2014
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
NEW YORK, NY
Past
May 16, 2000 - April 24, 2006
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
SAN FRANCISCO, CA
Past
November 24, 1999 - May 10, 2000
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
SAN MATEO, CA
Past
June 9, 1999 - October 8, 1999
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
June 12, 1998 - June 7, 1999
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
BOSTON, MA
Past
March 10, 1998 - July 14, 1998
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/22/2026)
RR
Alaska(4/22/2026)
RR
Arizona(4/22/2026)
RR
Arkansas(4/22/2026)
RR
California(4/22/2026)
RR
Colorado(4/22/2026)
RR
Connecticut(4/22/2026)
RR
Delaware(4/22/2026)
RR
District of Columbia(4/22/2026)
RR
Florida(4/22/2026)
RR
Georgia(4/22/2026)
RR
Hawaii(4/22/2026)
RR
Idaho(4/22/2026)
RR
Illinois(4/22/2026)
RR
Indiana(4/22/2026)
RR
Iowa(4/22/2026)
RR
Kansas(4/22/2026)
RR
Kentucky(4/22/2026)
RR
Louisiana(4/22/2026)
RR
Maine(4/22/2026)
RR
Maryland(4/22/2026)
RR
Massachusetts(4/22/2026)
RR
Michigan(4/22/2026)
RR
Minnesota(4/22/2026)
RR
Mississippi(4/22/2026)
RR
Missouri(4/22/2026)
RR
Montana(4/22/2026)
RR
Nebraska(4/22/2026)
RR
Nevada(4/22/2026)
RR
New Hampshire(4/22/2026)
RR
New Jersey(4/22/2026)
RR
New Mexico(4/22/2026)
RR
New York(4/22/2026)
RR
North Carolina(4/22/2026)
RR
North Dakota(4/22/2026)
RR
Ohio(4/23/2026)
RR
Oklahoma(4/22/2026)
RR
Oregon(4/22/2026)
RR
Pennsylvania(4/22/2026)
RR
Puerto Rico(4/22/2026)
RR
Rhode Island(4/22/2026)
RR
South Carolina(4/22/2026)
RR
South Dakota(4/22/2026)
RR
Tennessee(4/22/2026)
RR
Texas(4/22/2026)
RR
Utah(4/22/2026)
RR
Vermont(4/22/2026)
RR
Virgin Islands(4/22/2026)
RR
Virginia(4/22/2026)
RR
Washington(4/22/2026)
RR
West Virginia(4/22/2026)
RR
Wisconsin(4/22/2026)
RR
Wyoming(4/22/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| KADJESKI, ANDREW MICHAEL | CHAIRMAN, PRESIDENT, DIRECTOR, CEO | 4708335 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
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.
