James C. 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.
James C Morgan, who also goes by James Colin Morgan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2020 - June 14, 2021
PORTUM CAPITAL LLC
March 9, 2015 - January 23, 2019
GENESIS GLOBAL TRADING, INC
March 18, 2004 - October 25, 2004
MAXIM GROUP LLC
October 23, 2002 - August 22, 2003
MAXIM GROUP LLC
August 30, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, 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
Current Firm
PORTUM CAPITAL LLC
CRD#: 300440 / SEC#: , 8-70281
Contact information
FINRA licenses (2 States and Territories)
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.
