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KM

Kristen K. Morgan

Some features on this profile are disabled
CRD#: 5150668
KM

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.

Kristen Kyle Morgan, who also goes by Kristen Kyle Morgan, was a registered financial professional .

Kristen is a previously registered financial professional and started their career in finance in 2009. Kristen had worked at 3 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kristen Kyle 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®
None

Experience

Past

April 23, 2014 - March 27, 2018

B. C. ZIEGLER AND COMPANY

RIA
CRD#: 61
CHICAGO, IL
Past

April 23, 2014 - November 6, 2019

B. C. ZIEGLER AND COMPANY

BD
CRD#: 61
CHICAGO, IL
Past

November 2, 2009 - May 1, 2014

MORGAN STANLEY

RIA
CRD#: 149777
CHICAGO, IL
Past

June 1, 2009 - May 1, 2014

MORGAN STANLEY

BD
CRD#: 149777
OAK BROOK, IL
Past

January 28, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
OAK BROOK, IL

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
RR
IAR
Series 66
Date: 10/30/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/26/2010
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/26/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/27/2015
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/20/2014
General Securities Principal Examination

Current Firm

B. C. ZIEGLER AND COMPANY
B. C. ZIEGLER AND COMPANY
B. C. ZIEGLER AND COMPANY | ZIEGLER WEALTH MANAGEMENT | ZIEGLER PRIVATE EQUITY | ZIEGLER INVESTMENT SERVICES GROUP | ZIEGLER CONSULTING SERVICE | ZIEGLER CAPITAL MARKETS | ZIEGLER | REACT GROUP

CRD#: 61 / SEC#: 801-19699, 8-94

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

Main Address
One North Wacker Drive, Suite 2000 Suite 2000, Chicago, IL 60606
Mailing Address
One North Wacker Drive, Suite 2000, Chicago, IL 60606
Phone number
(312) 263-0110
Established
Wisconsin since 02/12/1920
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE 3.30.17 FINAL (3/30/2017)
BCZ ADV PART 2A FINAL 2017 (3/30/2017)

Direct owners and executive officers

NamePositionCRD#
THE ZIEGLER COMPANIES, INC.PARENT COMPANY
DAVID, ANGELIQUE ATHIENAEMD, GENERAL COUNSEL, CORPORATE SECRETARY, COO5445800
HERMANN, DANIEL JOSEPHCEO AND PRESIDENT1790977
JEFFERSON, RYAN TMANAGING DIRECTOR, CFO & DIRECTOR5844031
KERR, MARCLETTA RDIRECTOR, CHIEF COMPLIANCE OFFICER7463114
STROM, KEVIN LOUISEMD HEAD OF CAPITAL MARKETS1595516

Disclosures

Regulatory Event7
Civil Event2
Arbitration2

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
WisconsinERA - Withdrawn3/3/2025

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

B. C. ZIEGLER AND COMPANY

B. C. ZIEGLER AND COMPANY

CRD#: 61

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