MM
Michael D. Morgan
BABCOCK & BROWN SECURITIES LLC
Cos Cob, CT 06807-2745
Some features on this profile are disabled
CRD#: 3176778
MM
Professional summary
Michael Dickey Morgan, who also goes by Michael Scott Dickey, is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Scott Dickey
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) 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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Dickey 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
August 20, 2014 - Present
BABCOCK & BROWN SECURITIES LLC
Office #1: 29 River Road Suite 102, Cos Cob, CT 06807-2745Office #2: 29 River Rd. Suite 102, Cos Cob, CT 06807BD
CRD#: 169440
Cos Cob, CT
Past
January 8, 2018 - March 17, 2025
BURNHAM STERLING ASSET MANAGEMENT LLC
RIA
CRD#: 283907
COS COB, CT
Past
October 5, 2016 - December 31, 2017
BURNHAM STERLING ASSET MANAGEMENT LLC
RIA
CRD#: 283907
COS COB, CT
Past
March 12, 1999 - September 15, 2009
BABCOCK & BROWN FINANCIAL CO. LLC
BD
CRD#: 14058
NEW YORK, NY
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 1/7/2014
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
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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
# of Employees
FINRA licenses (16 States and Territories)
Documents
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.
