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JM

James E. Morgan

THE FORBES SECURITIES GROUP LLC
Salt Lake City, UT 84111
Some features on this profile are disabled
CRD#: 4864541
JM

Professional summary

James Edward Morgan is a registered financial professional currently at THE FORBES SECURITIES GROUP LLC located in Salt Lake City, Utah.

James is registered as a RR (Registered Representative) and started their career in finance in 2004. James has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view James Edward Morgan's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 15, 2020 - Present

THE FORBES SECURITIES GROUP LLC

Office #1: 132 S. State St, Salt Lake City, UT 84111
BD
CRD#: 288142
Salt Lake City, UT
Past

August 16, 2007 - March 22, 2017

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

December 14, 2004 - May 18, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Utah
(2/13/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 2/13/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/15/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/22/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TF
THE FORBES SECURITIES GROUP LLC
FORBES PARTNERS | THE FORBES SECURITIES GROUP LLC

CRD#: 288142 / SEC#: , 8-69926

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
6400 S. Fiddlers Green Circle Suite 850, Greenwood Village, CO 80111
Mailing Address
6400 S. Fiddlers Green Circle Suite 850, Greenwood Village, CO 80111
Phone number
(303) 770-6017
Established
Colorado since 02/01/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FORBES, ROBERT ALANPRESIDENT5765628
FORBES, SHARLEENOWNER
CARTER, ANA ROUMENOVAFINOP/PFO/POO4424794
WILEY, JONATHON DAVIDCHIEF COMPLIANCE OFFICER2524793

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

THE FORBES SECURITIES GROUP LLC

CRD#: 288142Salt Lake City, UT 84111

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