Mark T. Morgan
Professional summary
Mark Thomas Morgan is a registered financial professional currently at SEI INVESTMENTS DISTRIBUTION CO. located in Chicago, Illinois.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2001. Mark has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Thomas Morgan's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 22, 2010 - Present
SEI INVESTMENTS DISTRIBUTION CO.
Office #1: 351 West Hubbard Street Suite 501, Chicago, IL 60654December 20, 2005 - December 4, 2009
BLACKROCK INVESTMENTS, LLC
April 18, 2001 - August 29, 2005
DEAM INVESTOR SERVICES, 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
(9/22/2010)
(9/22/2010)
Exams
FINRA
Current Firm
SEI INVESTMENTS DISTRIBUTION CO.
CRD#: 10690 / SEC#: , 8-27897
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEI INVESTMENTS COMPANY | SHAREHOLDER | |
| CAMPISI, JENNIFER HICKMAN | CHIEF COMPLIANCE OFFICER, ASST SECRETARY | 5299753 |
| COARY, JOHN PATRICK | TREASURER, CFO | 2551648 |
| CROWE, KEVIN FRANCIS | DIRECTOR | 2109967 |
| DORAN, WILLIAM M | DIRECTOR | 1476724 |
| KLAUDER, PAUL FRANCIS | DIRECTOR, PRESIDENT, CEO | 2474240 |
| MCGHIN, JASON MICHAEL | COO | 3119188 |
| MUNCH, JOHN CHARLES | SECRETARY, GENERAL COUNSEL | 4739576 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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