James H. 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 Henry Morgan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 1 firm and has passed the Series 63, Series 2, Series 1, Series 8 and Series 24 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, 1990 - April 29, 2002
WACHOVIA SECURITIES, INC.
February 11, 1986 - July 18, 1989
WACHOVIA SECURITIES, 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
Series 2
Date: 5/15/1985
Non-Member General Securities ExaminationSeries 1
Date: 9/26/1972
Registered Representative ExaminationSeries 8
Date: 2/26/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WACHOVIA SECURITIES, INC.
CRD#: 431 / SEC#: , 8-2612
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
| Civil Event | 3 |
| Arbitration | 18 |
| Bond | 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.
