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JM

Joel C. Morgan

Some features on this profile are disabled
CRD#: 3124059
JM

Professional summary

Joel Curtis Morgan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joel is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Joel had worked at 1 firm, which includes WMA SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 23, 2000 - January 17, 2002

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

March 29, 1999 - December 31, 1999

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/8/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 3/27/1999
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WS
WMA SECURITIES, INC.
WMA SECURITIES, INC.

CRD#: 32625 / SEC#: , 8-45728

BD
Terminated by SEC on 06/30/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 04/14/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WORLD MONEY GROUP, INC.OWNER

Disclosures

Regulatory Event6
Arbitration6

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.

Company Information

WMA SECURITIES, INC.

CRD#: 32625

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