JM
Joseph A. Morgan
UNITED CAPITAL FINANCIAL ADVISORS
RESTON, VA 20191
Some features on this profile are disabled
CRD#: 5157563
JM
Professional summary
Joseph Adam Morgan, CFP®, who also goes by Adam Morgan, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Reston, Virginia.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Joseph has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam 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.
1) INSURANCE AGENT, LICENSED FOR LIFE INSURANCE, HEALTH INSURANCE AND/OR ANNUITY LINES OF BUSINESS WITH UNITED CAPITAL RISK MANAGEMENT. I MAY RECEIVE COMPENSATION FROM INSURANCE COMPANIES FOR THE SALES OF INSURANCE PRODUCTS TO CLIENTS OR OTHER INDIVIDUALS
2) NORTHERN VIRGINIA MEDIATION SERVICES - 9653 FAIRFAX BLVD, STE 203, FAIRFAX, VA 22031; MEDIATION SERVICES INSTRUCTOR TEACHING APPROX. 2 DAYS PER YEAR - NON-INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Adam 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®
CFP®
Start date: 2010
Experience
Current
July 1, 2013 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 12030 Sunrise Valley Dr, Reston, VA 20191RIA
CRD#: 134600
RESTON, VA
Past
October 7, 2008 - July 1, 2013
C5 WEALTH MANAGEMENT, LLC
RIA
CRD#: 142430
GREAT FALLS, VA
Past
July 12, 2007 - September 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GREAT FALLS, VA
Past
November 10, 2006 - September 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GREAT FALLS, VA
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".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Maryland(1/5/2015)
IAR
Texas(2/6/2020)
IAR
Virginia(7/1/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
