James G. 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.
James Gary Morgan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 11 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2000 - December 1, 2009
BROADSTONE SECURITIES
September 25, 1996 - July 3, 2000
MEADOWBROOK SECURITIES INC.
July 31, 1993 - August 23, 1996
CITIGROUP GLOBAL MARKETS INC.
November 26, 1979 - July 31, 1993
LEHMAN BROTHERS INC.
January 18, 1978 - November 26, 1979
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
March 12, 1976 - January 4, 1977
LOEB, RHOADES & CO. INC.
November 4, 1974 - April 4, 1976
E. F. HUTTON & COMPANY INC
January 11, 1974 - February 23, 1974
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
December 11, 1973 - November 14, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
October 22, 1969 - November 8, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 6/1/1977
AMEX Put and Call ExamSeries 1
Date: 10/21/1969
Registered Representative ExaminationCurrent Firm
BROADSTONE SECURITIES
CRD#: 101600 / SEC#: , 8-52094
Contact information
FINRA licenses (1 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.
