Charles F. Morgan
Professional summary
Charles Francis Morgan was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Charles had worked at 3 firms, which includes THE ADVISORS GROUP INC., RAYMOND JAMES FINANCIAL SERVICES INC., INVEST FINANCIAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 1996 - August 24, 2000
THE ADVISORS GROUP, INC.
October 8, 1985 - June 7, 1996
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 29, 1983 - July 2, 1985
INVEST FINANCIAL CORPORATION
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 1
Date: 9/10/1974
Registered Representative ExaminationCurrent Firm
THE ADVISORS GROUP, INC.
CRD#: 14035 / SEC#: , 8-28461
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMAL CORPORATION | 100% OWNER OF THE ADVISORS GROUP, INC. | |
| ARITURK, HALUK | DIRECTOR | 1149006 |
| BARRY, MICHELLE ANNE | VICE PRESIDENT, ADVISORY SERVICES | 2744539 |
| GLAZER, DAVID ANDREW | REGIONAL VICE PRESIDENT | 1149058 |
| HARVEY, JAMES EDWARD | HONORARY DIRECTOR | 4424791 |
| HEILMAN, CHERYL LYNN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2114445 |
| HITCHCOCKGEAR, SALENE MARIE | PRESIDENT/CHIEF EXECUTIVE OFFICER | 2590328 |
| NASON, CHARLES TUCKEY | CHAIRMAN OF BOARD OF DIRECTORS | 345075 |
| OSS, STEVEN MICHAEL | FINOP | 4696804 |
| OWENS, BRIAN JOHN | HONORARY DIRECTOR | 354641 |
| SANDS, ROBERT JOHN HAMILTON | DIRECTOR | 1107457 |
| SNYDER, REX BALES | VICE PRESIDENT, CHIEF SUPERVISORY OFFICER | 1061633 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
