Michael Dickey Morgan
Professional Summary
Michael Dickey Morgan, who also goes by Michael Scott Dickey, is a registered financial advisor currently at BABCOCK & BROWN SECURITIES LLC located in Cos Cob, Connecticut. Michael is registered as a RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 62, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael Scott Dickey
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
BABCOCK & BROWN SECURITIES LLC | BURNHAM STERLING SECURITIES LLC
Contact Information
Main Address
29 River Road Suite 102, Cos Cob, CT 06807-2745Mailing Address
29 River Road Suite 102, Cos Cob, CT 06807-2745Phone Number
(203) 862-4857Established
Connecticut since 09/16/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (16 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/9/2014)
(8/25/2014)
(9/15/2014)
(8/22/2014)
(9/9/2014)
(8/25/2014)
(9/3/2014)
(9/2/2014)
(9/9/2014)
(9/9/2014)
(9/9/2014)
(9/8/2014)
(8/26/2014)
(9/3/2014)
(9/9/2014)
(9/12/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed May 2014About the Series 79 examSeries 62 — Corporate Securities Limited Representative Examination
Passed Jan 2014SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Dickey Morgan's CRS (Customer Relationship Summary).
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