CM
Charles F. Morgan
CETERA INVESTMENT ADVISERS LLC
LEBANON, NH 03766
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CRD#: 3167585
CM
Professional summary
Charles Freeman Morgan is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lebanon, New Hampshire and CETERA FINANCIAL SPECIALISTS LLC located in Lebanon, New Hampshire.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Charles has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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.
1.CSF OF LEBANON, NOT INVESTMENT RELATED, 15 DANA STREET, WEST LEBANON, NH 03784, VICE PRESIDENT, ATTEND 4-6 MEETINGS PER YEAR, ASSIST BOARD WHICH PERFORMS FUND RAISING ACTIVITIES TO ISSUE SCHOLARSHIPS TO LEBANON NH HIGH SCHOOL GRADUATES ATTEND COLLEGE, 1H/WEEK, SINCE 10/2016. 2.AHENA ASSOCIATES, LLC INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, MANAGING MEMBER, OWNER, IN CHARGE OF ALL RENTAL OPERATIONS, 1H/WEEK, SINCE 05/1999 3.JC MORGAN RESOURCES, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, MANAGING MEMBER, 0H/WEEK, SINCE 1/2022. 4.CHARLES F MORGAN CPA PC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, PRESIDENT, SOLE SHAREHOLDER, MANAGEMENT OF CPA FIRM, TAX PLANNING, PREPARATION FOR INDIVIDUALS, BUSINESSES, TRUSTS, ESTATES, NON-PROFITS, PREPARE FINANCIAL STATEMENTS, BUSINESS CONSULTING, 40H/WEEK, SINCE 11/1997 5.NOTARY PUBLIC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, NOTARY PUBLIC, 1H/WEEK, SINCE 04/2001.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Freeman 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®
NoneExperience
Current
December 15, 2022 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 31 Old Etna Rd Ste N-4, Lebanon, NH 03766RIA
CRD#: 105644
LEBANON, NH
Current
December 15, 2022 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 31 Old Etna Rd Ste N-4, Lebanon, NH 03766BD
CRD#: 10358
Lebanon, NH
Past
January 31, 2005 - December 15, 2022
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LEBANON, NH
Past
February 28, 2003 - December 15, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LEBANON, NH
Past
January 6, 1999 - March 13, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.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
Arizona(1/3/2024)
RR
Colorado(12/15/2022)
RR
Connecticut(1/4/2023)
RR
Florida(12/15/2022)
RR
Maine(12/15/2022)
RR
Maryland(12/15/2022)
RR
Massachusetts(12/15/2022)
RR
Michigan(2/28/2023)
RR
New Hampshire(12/15/2022)
IAR
New Hampshire(12/15/2022)
RR
New York(12/15/2022)
RR
North Carolina(12/15/2022)
RR
Ohio(12/15/2022)
RR
Oregon(12/15/2022)
RR
Vermont(12/15/2022)
RR
Virginia(12/15/2022)
RR
Washington(1/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
