Richard 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.
Richard Bruce Morgan was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1966. Richard had worked at 6 firms and has passed the Series 65, Series 63, Series 5, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2009 - January 20, 2022
GRANITE INVESTMENT ADVISORS, LLC
September 22, 2003 - April 1, 2009
BOSTON PRIVATE VALUE INVESTORS, INC.
November 21, 1997 - March 6, 2003
MORGAN STANLEY & CO. LLC
February 27, 1980 - March 6, 2003
MORGAN STANLEY & CO. LLC
November 14, 1977 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
January 15, 1975 - December 10, 1977
WHITE, WELD & CO. INCORPORATED
April 18, 1966 - January 15, 1975
WHITE WELD & CO INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 3/16/1982
Interest Rate Options ExaminationPC
Date: 12/12/1977
AMEX Put and Call ExamSeries 1
Date: 4/15/1966
Registered Representative ExaminationSeries 8
Date: 10/29/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GRANITE INVESTMENT ADVISORS, LLC
CRD#: 149770 / SEC#: 801-70096
Contact information
Red Flags
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