Richard F. 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 Francis Morgan was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 1998 - December 15, 2004
HORNBLOWER FISCHER & CO.
June 12, 1989 - June 16, 1998
KANKAKU SECURITIES (AMERICA) INC.
March 18, 1986 - June 20, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
September 6, 1985 - April 2, 1986
THOMSON MCKINNON SECURITIES INC.
December 8, 1983 - April 8, 1985
CRALIN & CO., INC.
September 6, 1983 - December 2, 1983
AMERIPRISE ADVISOR SERVICES, INC.
October 3, 1979 - November 25, 1981
MORGAN STANLEY DW INC.
November 22, 1977 - November 19, 1983
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
October 12, 1972 - November 8, 1974
HAYDEN STONE 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 5
Date: 1/26/1989
Interest Rate Options ExaminationSeries 000
Date: 9/25/1972
General Securities Principal ExaminationSeries 40
Date: 10/5/1972
Registered Principal ExaminationSeries 12
Date: 9/28/1972
NYSE Branch Manager ExaminationCurrent Firm
HORNBLOWER FISCHER & CO.
CRD#: 10885 / SEC#: , 8-28071
Contact information
Documents
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 | 2 |
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.
