Richard Francis Morgan
Professional Summary
Richard Francis Morgan was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1972 - 2004. Richard had worked at 11 firms and has passed the Series 63, Series 5, Series 000, Series 14, Series 4, Series 40 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
54 years in the financial services industry
Current & Past Employments
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Current Firm
HORNBLOWER FISCHER & CO.
Contact Information
Established
Delaware since 09/04/1979Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORNBLOWER FISCHER AG | SHAREHOLDER | — |
| BANERJEE, DEBASISH | CHIEF COMPLIANCE OFFICER | 1555979 |
| DOWNEY, THOMAS WILLIAM | SEC, TREAS, COMPTROLLER, FIN OP. | 1735370 |
| NAPOLI, JOSEPH JOHN | MUNI PRINCIPAL, CROP, SROP | 1968084 |
| VONDEROSTEN, ERIMAR G W | CHAIRMAN, BOARD OF DIRECTORS, FINANCIAL OPERATIONS PRINCIPAL | 2060192 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Jan 1989Series 000 — General Securities Principal Examination
Passed Sep 1972Series 40 — Registered Principal Examination
Passed Oct 1972Series 12 — NYSE Branch Manager Examination
Passed Sep 1972Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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