Morgan N. Trunnell
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.
Morgan Nye Trunnell, who also goes by Morgan Nye Trunnell Mr., was a registered financial advisor .
Morgan is a previously registered financial advisor and started their career in finance in 2004. Morgan had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2013 - April 1, 2014
BNP PARIBAS PRIME BROKERAGE, INC.
June 1, 2010 - July 23, 2012
STERNE, AGEE & LEACH, INC.
August 17, 2006 - May 20, 2010
RBC CAPITAL MARKETS, LLC
August 15, 2006 - May 20, 2010
RBC CAPITAL MARKETS, LLC
January 20, 2004 - January 19, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
January 2, 2004 - January 19, 2006
IDS LIFE INSURANCE COMPANY
January 2, 2004 - January 19, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
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
BNP PARIBAS PRIME BROKERAGE, INC.
CRD#: 24962 / SEC#: , 8-40490
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNP PARIBAS US WHOLESALE HOLDINGS, CORP | OWNER | |
| ALTER, ANDREW WILLIAM | CHIEF LEGAL OFFICER AND SECRETARY | 4183449 |
| COZINE, DANNY | DIRECTOR | 4454984 |
| D'ILLIERS, BRUNO | DIRECTOR | 5932836 |
| FARRELL, MICHAEL F | CHIEF FINANCIAL OFFICER, FINOP | 2562352 |
| GALLAGHER, CLAUDINE | DIRECTOR | 6023604 |
| HAWLEY, ROBERT WILLIAM JR | CHAIRMAN | 828024 |
| HAWLEY, ROBERT WILLIAM JR | DIRECTOR | 828024 |
| LIST, LAWRENCE HARRIS | CHIEF OPERATING OFFICER | 2713411 |
| LOWE, JEFFREY CRAIG | PRESIDENT & DIRECTOR | 4820729 |
| MARTINO, MICHAEL BENEDICT | CHIEF OPERATIONS OFFICER | 4420944 |
| SPEAL, EDWARD NICHOLAS | DIRECTOR | 2122359 |
| WYNN, HOWARD M | CHIEF COMPLIANCE OFFICER | 5836243 |
Disclosures
| Regulatory Event | 18 |
| Bond | 1 |
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.
