Franklin F. Morgan

MORGAN FINANCIAL

OLEY, PA 19547

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CRD#: 3057635

Professional summary

Franklin Frederick Morgan JR, who also goes by Frank Morgan, is a registered financial advisor currently at MORGAN FINANCIAL INCORPORATED located in Oley, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Oley, Pennsylvania.

Franklin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Franklin has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank 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.

1) CO-OWNER OF RENTAL PROPERTY 113 E.PHILADELPHIA AVE BOYERTOWN PA,5HRS PERMO,0 DURING TRADING; 2) MORGAN FINANCIAL, INC., 449 B Main Street, Oley, PA 19547. BEGAN 4/22/07 AS PRESIDENT/ADVISORY REP OF A RIA. DEVOTES 35 HRS/WK WITH 30 HRS/WK DURING TRADING HOURS. 3) NORTHEAST BROKERAGE, FLEETWOOD, PA, 03/2019. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-1/WK-1/TRADING. 4) LAZY B BAR AND CAFE, 135 MAIN STREET, AUGUSTO, MT, LLC MEMBER, 03/23/20, NIR, 15/WK- 1/TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Franklin Frederick Morgan JR'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®

None

Experience

Current

February 1, 2005 - Present

MORGAN FINANCIAL INCORPORATED

Office #1: 449b Main Street, Oley, PA 19547

RIA

CRD#: 133775

OLEY, PA

Current

May 12, 2006 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 449 B Main Street, Oley, PA 19547

CRD#: 39543

Oley, PA

Past

October 2, 2000 - March 7, 2005

MORGAN FINANCIAL

RIA

CRD#: 119036

POTTSTOWN, PA

Past

May 16, 1998 - May 16, 2006

MML INVESTORS SERVICES, LLC

CRD#: 10409

BOYERTOWN, PA

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.

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

Delaware
(2/26/2015)

Montana
(5/22/2019)

IAR

Montana
(3/23/2022)

Nebraska
(2/12/2025)

IAR

Pennsylvania
(2/1/2005)

Pennsylvania
(5/12/2006)

South Carolina
(5/16/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/13/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/12/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MORGAN FINANCIAL INCORPORATED

CRD#: 133775 / SEC#:

Montana

Registered Investment Advisory firm - (3/22/2022 Approved)

Pennsylvania

Registered Investment Advisory firm - (2/1/2005 Approved)

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Contact information

Main Address

449b Main Street, Oley, PA 19547

Mailing Address

Phone number

(610) 367-9000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	500
AUM (Assets Under Management)	$ 58,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Franklin F. Morgan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Franklin Frederick Morgan JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

MORGAN FINANCIAL

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/1999

Series 63

Date: 5/13/1998

SIE

Date: 10/1/2018

Series 7

Date: 12/15/1998

Series 6

Date: 5/12/1998

FINRA

Current Firm

MORGAN FINANCIAL INCORPORATED

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MORGAN FINANCIAL INCORPORATED

TRUST BUT VERIFY

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