Fredrick A. Morgan

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CRD#: 4855407

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"?

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

CRD#: 463

PHILADELPHIA, PA

Past

May 25, 2012 - October 24, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

December 16, 2009 - May 3, 2012

J.P. MORGAN SECURITIES LLC

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

CRD#: 7560

MALVERN, PA

Past

December 2, 2004 - January 27, 2005

NEW ENGLAND SECURITIES

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".

ENVESTNET PMC

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/5/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/3/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/1/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/24/2007

General Securities Principal Examination

Current Firm

ENVESTNET PMC

CRD#: 111694 / SEC#: 801-57260

RIA

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

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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)

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 Accounts	2,021,610
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.

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Advisor Monitoring

Firm Stability Insights

Fredrick A. Morgan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

BNY ADVISORS

PERSHING LLC

PERSHING LLC

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

ENVESTNET PMC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/5/2013

Series 63

Date: 11/3/2004

SIE

Date: 4/30/2018

Series 7

Date: 8/26/2005

Series 6

Date: 12/1/2004

Series 24

Date: 8/24/2007

Current Firm

ENVESTNET PMC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ENVESTNET PMC

TRUST BUT VERIFY

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