Thomas E. 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.
Thomas Edward Morgan, who also goes by Charles Edward Sauer, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 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
February 26, 2018 - February 28, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - February 28, 2018
TD AMERITRADE, INC.
June 20, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
August 19, 2008 - February 26, 2018
SCOTTRADE, INC.
November 15, 2007 - August 5, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 29, 2007 - September 26, 2007
CHASE INVESTMENT SERVICES CORP.
August 17, 2006 - July 19, 2007
CHARLES SCHWAB & CO., INC.
June 22, 2001 - August 28, 2001
FIRST ALLIED SECURITIES, 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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
