Kathleen M. Morgan
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.
Kathleen Marie Morgan, who also goes by Kathleen Morgan, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2006. Kathleen had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2008 - June 17, 2013
BLACKROCK FUND ADVISORS
July 17, 2008 - June 17, 2013
BLACKROCK EXECUTION SERVICES
April 17, 2008 - June 9, 2008
UBS FINANCIAL SERVICES INC.
November 29, 2006 - June 9, 2008
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
BLACKROCK FUND ADVISORS
CRD#: 105247 / SEC#: 801-22609
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BLACKROCK FUND ADVISORS
CRD#: 105247 / SEC#: 801-22609
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 541 |
| AUM (Assets Under Management) | $ 3,535,403,132,528 |
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.
