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Carl R. Morganstein

GRIFFIN ASSET MANAGEMENT
Palm Coast, FL
Some features on this profile are disabled
CRD#: 340111
CM

Professional summary

Carl Robert Morganstein, who also goes by Carl Morgan, is a registered financial advisor currently at GRIFFIN ASSET MANAGEMENT, LLC located in Palm Coast, Florida.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1969. Carl has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 5, Series 1, Series 40, Series 4 and Series 12 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carl Morgan

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Robert Morganstein's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 13, 2018 - Present

GRIFFIN ASSET MANAGEMENT, LLC

RIA
CRD#: 104548
Palm Coast, FL
Past

December 5, 2011 - June 13, 2018

MORGAN STANLEY

RIA
CRD#: 149777
BOONE, NC
Past

November 30, 2011 - June 13, 2018

MORGAN STANLEY

BD
CRD#: 149777
BOONE, NC
Past

April 9, 2007 - December 1, 2011

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
BOCA RATON, FL
Past

April 5, 2007 - December 1, 2011

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
BOCA RATON, FL
Past

March 8, 2006 - April 9, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BOCA RATON, FL
Past

March 8, 2006 - April 9, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BOCA RATON, FL
Past

March 28, 2003 - March 8, 2006

ADVEST, INC.

RIA
CRD#: 10
BOCA RATON, FL
Past

December 11, 1998 - March 8, 2006

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

October 1, 1996 - December 2, 1998

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

March 14, 1988 - September 26, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 27, 1976 - April 7, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

October 6, 1975 - February 26, 1976

LOEB RHOADES & CO

BD
CRD#: 1000003
Past

June 13, 1972 - November 10, 1975

EDWARDS & HANLY

BD
CRD#: 6554
Past

September 12, 1969 - July 1, 1972

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GA
GRIFFIN ASSET MANAGEMENT, LLC
GRIFFIN ASSET MANAGEMENT, INC. | USAFOLIOS | HOVEY, YOUNGMAN ASSOCIATES, INC | GRIFFIN RISK MANAGED INVESTMENTS, LLC | GRIFFIN ASSET MANAGEMENT, LLC

CRD#: 104548 / SEC#: 801-7495

RIA
Registered Investment Advisory firm - (6/9/1971 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Florida
(12/13/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/15/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/29/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 10/16/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 1
Date: 9/10/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 5/15/1978
Registered Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/13/1977
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 8/26/1976
NYSE Branch Manager Examination

Current Firm

GA
GRIFFIN ASSET MANAGEMENT, LLC
GRIFFIN ASSET MANAGEMENT, INC. | USAFOLIOS | HOVEY, YOUNGMAN ASSOCIATES, INC | GRIFFIN RISK MANAGED INVESTMENTS, LLC | GRIFFIN ASSET MANAGEMENT, LLC

CRD#: 104548 / SEC#: 801-7495

RIA
Registered Investment Advisory firm - (6/9/1971 Approved)
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Contact information

Main Address
230 Park Avenue 4th Floor, New York, NY 10169
Mailing Address
Phone number
(917) 484-5608
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GRIFFIN ADV PART 2A & B (2/19/2025)

Regulatory assets under management

Total Number of Accounts687
AUM (Assets Under Management)$ 969,741,595

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.

Company Information

GRIFFIN ASSET MANAGEMENT, LLC

CRD#: 104548Palm Coast, FL

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