Morgan B. Gaughan
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.
Morgan Brian Gaughan, who also goes by Morgan B Gaughan, was a registered financial professional .
Morgan is a previously registered financial professional and started their career in finance in 1998. Morgan had worked at 6 firms and has passed the Series 63, Series 7, Series 17 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2012 - October 25, 2012
ACGM, INC.
April 5, 2010 - February 11, 2011
CANTOR FITZGERALD & CO.
July 10, 2006 - September 16, 2009
NOMURA SECURITIES INTERNATIONAL, INC.
March 3, 2005 - June 13, 2006
COMMERZ MARKETS LLC
September 4, 2002 - January 25, 2005
CREDIT AGRICOLE SECURITIES (USA) INC.
October 12, 1998 - April 21, 1999
BARCLAYS CAPITAL INC.
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
Series 17
Date: 10/5/1998
Limited Registered Representative ExaminationCurrent Firm
ACGM, INC.
CRD#: 29705 / SEC#: , 8-44376
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
