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FM

Fredrick A. Morgan

Some features on this profile are disabled
CRD#: 4855407
FM

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.

Fredrick Anthony Morgan, CFP®, who also goes by Fredrick Morgan, was a registered financial professional .

Fredrick is a previously registered financial professional and started their career in finance in 2004. Fredrick had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Fredrick Morgan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

June 25, 2018 - November 11, 2019

ENVESTNET PMC

RIA
CRD#: 111694
BERWYN, PA
Past

January 7, 2013 - April 30, 2018

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
PHILADELPHIA, PA
Past

October 16, 2012 - April 30, 2018

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

May 25, 2012 - October 24, 2012

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

December 16, 2009 - May 3, 2012

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEWARK, DE
Past

January 3, 2006 - July 13, 2009

BNY ADVISORS

RIA
CRD#: 106108
MALVERN, PA
Past

December 1, 2005 - March 31, 2006

PERSHING LLC

RIA
CRD#: 7560
MALVERN, PA
Past

April 27, 2005 - July 13, 2009

PERSHING LLC

BD
CRD#: 7560
MALVERN, PA
Past

December 2, 2004 - January 27, 2005

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EP
ENVESTNET PMC
ENVESTNET ADVISORY CORP. | QRG | ENVESTNETPMC, INC. | ENVESTNET | PMC | ENVESTNET | PLACEMARK | ENVESTNET PMC | ENVESTNET PLACEMARK | ENVESTNET CAPITAL MANAGEMENT | ENVESTNET ASSET MANAGEMENT, INC.

CRD#: 111694 / SEC#: 801-57260

RIA
Registered Investment Advisory firm - (2/10/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/5/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/3/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/30/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/1/2004
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/24/2007
General Securities Principal Examination

Current Firm

EP
ENVESTNET PMC
ENVESTNET ADVISORY CORP. | QRG | ENVESTNETPMC, INC. | ENVESTNET | PMC | ENVESTNET | PLACEMARK | ENVESTNET PMC | ENVESTNET PLACEMARK | ENVESTNET CAPITAL MANAGEMENT | ENVESTNET ASSET MANAGEMENT, INC.

CRD#: 111694 / SEC#: 801-57260

RIA
Registered Investment Advisory firm - (2/10/2000 Approved)
PREMIUM
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Contact information

Main Address
222 N. Lasalle St., Suite 625, Chicago, IL 60601
Mailing Address
1000 Chesterbrook Boulevard, Suite 250, Berwyn, PA 19312
Phone number
(312) 827-2800
Established
Firm type
Fiscal year end
# of Employees
394

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ENVESTNET ASSET MANAGEMENT ADV PART 2A (11/19/2025)
ENVESTNET ASSET MANAGEMENT ADV PART 2 APPENDIX 1 (11/19/2025)
ENVESTNET PRIVACY POLICY (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,021,610
AUM (Assets Under Management)$ 532,197,263,852

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.

Company Information

ENVESTNET PMC

CRD#: 111694

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