Frank A. 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.
Frank Andrew Morgan was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2000. Frank had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 25 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
January 26, 2017 - March 8, 2018
IMPACTU.INVESTMENTS, LLC
September 1, 2015 - May 27, 2016
BREAN CAPITAL, LLC
January 21, 2015 - August 27, 2015
B. RILEY SECURITIES, INC.
March 7, 2013 - June 24, 2013
COWEN AND COMPANY
August 20, 2008 - April 10, 2013
COWEN SECURITIES LLC
July 28, 2003 - July 8, 2008
COWEN AND COMPANY
January 30, 2002 - July 24, 2003
LEGG MASON WOOD WALKER, INCORPORATED
November 21, 2000 - November 14, 2001
HALCYON CABOT PARTNERS, LTD.
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 55
Date: 2/22/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 5/9/2002
NYSE Trading Assistant ExaminationCurrent Firm
IMPACTU.INVESTMENTS, LLC
CRD#: 122696 / SEC#: , 8-65527
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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