Gene R. Morgan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gene Ray Morgan was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1970. Gene had worked at 4 firms and has passed the Series 63, Series 7, Series 41, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 1995 - July 3, 1996
CULLUM & SANDOW SECURITIES, INC.
May 3, 1985 - April 26, 1995
GENE MORGAN FINANCIAL
September 7, 1984 - March 26, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 1970 - August 10, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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 41
Date: 6/1/1975
NYSE Allied Member ExaminationSeries 1
Date: 8/21/1963
Registered Representative ExaminationSeries 00
Date: 3/26/1973
General Securities Principal ExaminationCurrent Firm
CULLUM & SANDOW SECURITIES, INC.
CRD#: 15836 / SEC#: , 8-32818
Contact information
Documents
Red Flags
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