Mark R. 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.
Mark Ross Morgan was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2009. Mark had worked at 4 firms and has passed the Series 63, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2016 - February 11, 2019
SADDOCK WEALTH, LLC
September 19, 2012 - April 30, 2013
TD AMERITRADE, INC.
September 19, 2012 - April 30, 2013
TD AMERITRADE CLEARING, INC.
November 12, 2009 - November 12, 2010
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
SADDOCK WEALTH, LLC
CRD#: 161568 / SEC#: 801-78020
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
SADDOCK WEALTH, LLC
CRD#: 161568 / SEC#: 801-78020
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 97 |
| AUM (Assets Under Management) | $ 114,100,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2025 | ||
| 10/28/2024 | ||
| 08/29/2023 |
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.
