Timothy J. Morgan

MORGAN CAPITAL GROUP LLC

ALPHARETTA, GA 30009

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CRD#: 3071902

Professional summary

Timothy James Morgan is a registered financial advisor currently at MORGAN CAPITAL GROUP LLC located in Alpharetta, Georgia.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Timothy has worked at 6 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

INDEPENDENT INSURANCE AGENT, INVESTMENT RELATED, ALPHARETTA, GEORGIA, INSURANCE SALES, SALES OF INSURANCE PRODUCTS, FEBRUARY 2020, 10 HOURS, ALL DURING TRADING HOURS, ALL DUTIES RELATED TO SALES OF INSURANCE PRODUCTS. JOB SITE RESOURCES, NOT INVESTMENT RELATED, SMYRNA, GEORGIA, RECRUITING, SENIOR RECRUITER, APRIL 2019, 60 HOURS, ALL DURING TRADING HOURS, RECRUITING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy James Morgan'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

January 27, 2020 - Present

MORGAN CAPITAL GROUP LLC

Office #1: 2300 Lakeview Parkway Suite 700, Alpharetta, GA 30009

RIA

CRD#: 307004

ALPHARETTA, GA

Past

November 28, 2006 - July 9, 2007

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

June 18, 2004 - June 15, 2007

STONEX SECURITIES INC.

CRD#: 18456

ATLANTA, GA

Past

July 1, 2003 - June 16, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LA JOLLA, CA

Past

July 1, 2003 - June 16, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 17, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

LA JOLLA, CA

Past

January 8, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 17, 1998 - January 12, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Georgia
(1/27/2020)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/23/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/10/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 8/13/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/15/1998

General Securities Representative Examination

Current Firm

MORGAN CAPITAL GROUP LLC

CRD#: 307004 / SEC#:

Georgia

Registered Investment Advisory firm - (1/27/2020 Approved)

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Contact information

Main Address

2300 Lakeview Parkway Suite 700, Alpharetta, GA 30009

Mailing Address

Phone number

(678) 333-9406

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 110,000

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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Firm Stability Insights

Timothy J. Morgan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy James Morgan's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTL ADVISORY CONSULTANTS INC.

STONEX SECURITIES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/2018

Series 63

Date: 8/10/1998

Series 31

Date: 8/13/1998

Series 7

Date: 7/15/1998

Current Firm

MORGAN CAPITAL GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MORGAN CAPITAL GROUP LLC

TRUST BUT VERIFY

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