John B. 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.
John Black Morgan was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 20 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 15, Series 5, PC, Series 7, Series 1, Series 10, Series 9, Series 8, Series 27, Series 14, Series 53, Series 12, Series 4 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 13, 2011 - April 21, 2025
STOEVER, GLASS & COMPANY INC.
April 13, 2006 - July 9, 2010
TFS DERIVATIVES LLC
August 24, 2005 - July 2, 2013
STANDARD CREDIT SECURITIES INC.
December 9, 2004 - July 2, 2013
TRADITION SECURITIES AND DERIVATIVES LLC
April 16, 2004 - April 22, 2005
PYXIS SECURITIES, LLC
December 14, 2000 - September 17, 2003
NASDAQ CAPITAL MARKETS ADVISORY LLC
June 14, 2000 - September 19, 2003
INET ATS, INC.
June 3, 1996 - June 29, 2000
INTESA SANPAOLO IMI SECURITIES CORP.
September 13, 1993 - May 31, 1996
PROBURSA INTERNATIONAL INC.
June 27, 1984 - August 17, 1993
ASIEL & CO. LLC
April 26, 1983 - August 2, 1986
LEHMAN BROTHERS INTERNATIONAL SECURITIES, INC.
April 19, 1982 - June 25, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 7, 1980 - April 5, 1982
MURIEL SIEBERT & CO., LLC
August 28, 1979 - June 9, 1980
LEHMAN BROTHERS INC.
July 23, 1979 - October 28, 1979
HANAUER, STERN & COMPANY,INCORPORATED
February 22, 1979 - May 6, 1979
AMERIPRISE ADVISOR SERVICES, INC.
September 26, 1978 - March 12, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 8, 1977 - March 12, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 3, 1977 - December 16, 1977
ADVEST, INC.
August 14, 1970 - March 3, 1971
UNITY SECURITIES 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 12/7/1982
Foreign Currency Options ExaminationSeries 5
Date: 11/18/1981
Interest Rate Options ExaminationPC
Date: 8/6/1980
AMEX Put and Call ExamSeries 1
Date: 8/8/1970
Registered Representative ExaminationSeries 8
Date: 12/1/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 7/18/1981
NYSE Branch Manager ExaminationCurrent Firm
STOEVER, GLASS & COMPANY INC.
CRD#: 7031 / SEC#: , 8-19273
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Financial | 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.
