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Michael Dickey Morgan

BABCOCK & BROWN SECURITIES
COS COB, CT
·CRD# 3176778·27 years experience

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

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael Scott Dickey

Blog Corner

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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

BABCOCK & BROWN SECURITIES LLC·CRD# 169440
BD
1. 29 River Road Suite 102, Cos Cob, CT 06807-27452. 29 River Rd. Suite 102, Cos Cob, CT 06807
August 20, 2014 - Present
BURNHAM STERLING ASSET MANAGEMENT LLC·CRD# 283907
RIA
Cos Cob, CT
January 8, 2018 - March 17, 2025
BURNHAM STERLING ASSET MANAGEMENT LLC·CRD# 283907
RIA
Cos Cob, CT
October 5, 2016 - December 31, 2017
BABCOCK & BROWN FINANCIAL CO. LLC·CRD# 14058
BD
New York, NY
March 12, 1999 - September 15, 2009

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Current Firm

B&
BABCOCK & BROWN SECURITIES LLC

BABCOCK & BROWN SECURITIES LLC | BURNHAM STERLING SECURITIES LLC

CRD#: 169440 / SEC#: 8-69368
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

29 River Road Suite 102, Cos Cob, CT 06807-2745

Mailing Address

29 River Road Suite 102, Cos Cob, CT 06807-2745

Phone Number

(203) 862-4857

Established

Connecticut since 09/16/2013

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (16 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
B&B SECURITIES HOLDINGS LLCHOLDING COMPANY—
COHANE, MARY EFINOP / CFO5626669
LEE, JOONHOCCO2900218
MORGAN, MICHAEL DICKEYEXECUTIVE MANAGING DIRECTOR3176778

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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.

1) Burnham Sterling & Company LLC The company provides financial advisory and consulting services to firms in the aviation sector. Not investment related. 29 river road, suite 102, Cos Cob, CT 06807 USA. Executive Managing Director. Owner of business. June 1,2010, hrs per day during non-trading hrs-0.7, 5 days per/wk. Hrs per day during trading hrs: 6.5, 5 days per/wk. approx hrs/month during non-trading hrs: 14 /during trading hrs: 130. Policy making, recruitment, negotiations w/ clients deal origination. 2) Blue River Domains LLC formed to hold URLs (i.e. website addresses) not investment related. 29 river road, suite 102, Cos Cob, CT 06807 USA. Manager/owner. May 30, 2013. Hrs per day during non-trading hrs: 0,hrs per day during trading hrs: 0.3, 5 days per week.approx 6 hrs/mth. Gen. Mgt. 3) Greenwich Aircraft Leasing Company LLC to Burnham Sterling & Company clients. Not investment related.29 river road, suite 102, cos cob, CT 06807 USA. Manager/Owner. November 2, 2010. 0 hrs/month during non-trading hrs. 0.1 hrs, 5 days per week during trading hrs. Approx.2hrs/month. Gen. Mgt. 4) Burnham Sterling Greenwich LLC formed to execute the office space lease agreement. Not investment related.29 river road, suite 102, cos cob, CT 06807 USA. Pos: manager. Owner. May 5, 2010.0 hrs per day during non-trading hrs. 0.1 hrs per day, 5 days a week during trading hrs.approx.2hrs per month. Gen. Mgt. 5)Burnham Sterling Asset Management LLC, investment-related, 29 River Road,Suite 102,Cos Cob CT 06807, the nature of the business is Investment Advisory,Title/position:Executive Managing Director, start date of relationship:12/28/2015,the approximate number of hours per month I devote to the other business is 60 hours,the number of hours I devote to the other business during securities trading hours is 60 hours. Duties relating to the other business are: Executive managing director investment advisory duties. 6)Burnham Group Holdings LLC, Not investment-related. 29 River Road, Suite 102, Cos Cob CT 06807,:Holding Company, Title/position:Executive Managing Director,9/16/2014, approx. no. of hr/mth I devote to the other business is 1 hour, no. of hours I devote to the other business during securities trading hours: 1 hour,duties relating to the other business are: Executive managing director holding company duties 7) Burnham Holdings LLC, Not investment-related. 29 River Road, Suite 102, Cos Cob CT 06807, Holding Company.Executive Managing Director, start date 9/16/2014, approx. no. hrs/mth I devote to the other business is 1 hour, no. of hours I devote during securities trading hrs: 1 hour, duties are executive managing director of holding company duties. 8) BSAM HOLDINGS LLC, Not investment related. the nature of the other business - HOLDING COMPANY your position/title - EXECUTIVE MANAGING DIRECTOR relationship with the other business - HOLDING COMPANY the start date of your relationship - 8/11/2022 the approximate number of hours/month you devote to the other business - CURRENTLY NO HOURS, EXPECT ONE HOUR IN FUTURE the number of hours you devote to the other business during securities trading hours - ONE HOUR and briefly describe your duties relating to the other business - EXECUTIVE MANAGING DIRECTOR OF HOLDING COMPANY DUTIES. 9)Burnham Babcock & Brown LLC. Not investment-related. 29 River Rd Cos Cob, CT 06807. Holding company. Position: Owner. Title: Executive Managing Director. Start date: March 2024. Hours/month: 2. Hours during securities trading hours: 4. Duties: CEO. 10)Greenwich Guaranty Company LLC. Not investment-related. 29 River Rd Cos Cob, CT 06807. Personal matters/travel/renting vacation homes (as a tenant). Position: Owner. Title: Managing Member. Start date: Nov. 2020. Hours/month: 0.5. Hours during securities trading hours:0.5. Duties: CEO. 11)Babcock & Brown LLC. Not investment-related. Licenses trademarks to Burnham Holdings LLC a Manager. Manages the company operations and activities. November 2014. 2 Hours. 2 Hours.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(9/9/2014)
RR
California
(8/25/2014)
RR
Colorado
(9/15/2014)
RR
Connecticut
(8/22/2014)
RR
Georgia
(9/9/2014)
RR
Iowa
(8/25/2014)
RR
Maryland
(9/3/2014)
RR
Massachusetts
(9/2/2014)
RR
Minnesota
(9/9/2014)
RR
Nebraska
(9/9/2014)
RR
New Jersey
(9/9/2014)
RR
New York
(9/8/2014)
RR
Ohio
(8/26/2014)
RR
Texas
(9/3/2014)
RR
Utah
(9/9/2014)
RR
Wisconsin
(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 65 — Uniform Investment Adviser Law Examination

Passed Sep 2016About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2014About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 79 — Investment Banking Registered Representative Examination

Passed May 2014About the Series 79 exam

Series 62 — Corporate Securities Limited Representative Examination

Passed Jan 2014

Series 7 — General Securities Representative Examination

Passed Mar 1999About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 2014About the Series 24 exam
FINRA
SRO 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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