SM
Sten J. Morgan
STONEX ADVISORS
Franklin, TN 37067
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CRD#: 5539814
SM
Professional summary
Sten Jacoby Morgan, CFP®, ChFC® is a registered financial advisor currently at STONEX ADVISORS INC. located in Franklin, Tennessee and STONEX SECURITIES INC. located in Franklin, Tennessee.
Sten is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Sten has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Health/Group Benefits 6700 Tower Circle Suite 310 Franklin, TN 37067 Nature of Business: Selling group health benefits Investment Related: Non-Investment Related Title: Advisor Duties: Referral Partner Start Date: 2/15/15 Hours Devoted to Business: 3 Hours Devoted to Business during Market Hours: 3 2) Legacy Investment Planning 6700 Tower Circle Suite 310 Franklin, TN Nature of Business: DBA for Investment Business Investment Related: Yes Title: Owner/advisor Duties: Advisor to clients Start Date: 6/1/2012 Hours Devoted to Business: 160 Hours Devoted to Business during Market Hours: 8 3) SLJ Properties 6700 Tower Circle Suite 310 Franklin, TN Nature of Business: Own rental real estate. 100% owned by me Investment Related: Non-Investment Related Title: Owner Start Date: 09/18/2020 Duties: I will oversee property and duties related to rental Hours Devoted to Business: 4 Hours Devoted to Business during Market Hours: 2 4) Success Mindsets LLC 6700 Tower Circle Suite 310 Franklin, TN 37067 Nature of Business: Wrote a book and coach other financial advisors Investment Related: Non-Investment Related Start Date: 07/28/2017 Title: Owner Duties: Owner and help create content to share with other financial advisors Hours Devoted to Business: 16 Hours Devoted to Business during Market Hours: 10 5) Non variable insurance lines 6700 Tower Circle Suite 310 Franklin, TN 37067 Nature of Business: Selling fixed life, DI, LTC, etc... Investment Related: No Business Position: Advisor Business Duties: Agent Business Start Date: 03/14/2022 Approximately 12 hours spent on this OBA monthly with 12 hours spent during market hours monthly. 6) Name: Franklin Reinsurance Company Nature of Business: C Corp that holds reserves to protect against uncovered risks for my companies Investment Related: No Business Position: Owner Business Duties: I own and manage the C Corp Business Start Date: 12/19/2023 Approximately one hour spent on this OBA monthly, with one hour spent during market hours. 7) Real estate event venue - 1151 Mile End Road Franklin TN Nature of Business: This will be an event venue Investment Related: Yes Business Position: Will be investor in LLC Business Duties: Invest cash and evaluate financials Business Start Date: 07/07/2025 Approximately five hours spent on this OBA monthly, with all 5 during market hours
CRS (Client Relationship Summary) - RIA
Click below to view Sten Jacoby 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: 2011
Experience
Current
October 1, 2019 - Present
STONEX ADVISORS INC.
Office #1: 6700 Tower Circle Suite 310, Franklin, TN 37067RIA
CRD#: 174182
Franklin, TN
Current
September 30, 2019 - Present
STONEX SECURITIES INC.
Office #1: 6700 Tower Circle Suite 310, Franklin, TN 37067BD
CRD#: 18456
Franklin, TN
Past
March 25, 2017 - October 3, 2019
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Franklin, TN
Past
March 25, 2017 - October 3, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Franklin, TN
Past
June 11, 2012 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
Franklin, TN
Past
June 11, 2012 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
Franklin, TN
Past
February 29, 2012 - June 8, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
BRENTWOOD, TN
Past
February 29, 2012 - June 8, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
BRENTWOOD, TN
Past
August 10, 2009 - January 20, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
FRANKLIN, TN
Past
August 6, 2009 - January 20, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
FRANKLIN, TN
Past
March 17, 2009 - July 8, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
PORTLAND, OR
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".
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 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.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
Alabama(9/30/2019)
RR
Arizona(9/30/2019)
RR
California(9/30/2019)
RR
Colorado(9/30/2019)
RR
Florida(1/2/2020)
RR
Georgia(9/30/2019)
RR
Illinois(4/25/2022)
RR
Indiana(9/30/2019)
RR
Kentucky(9/30/2019)
RR
Massachusetts(1/3/2022)
RR
Missouri(10/24/2023)
RR
North Carolina(2/13/2020)
RR
Ohio(4/1/2021)
RR
Oregon(9/30/2019)
RR
Tennessee(9/30/2019)
IAR
Tennessee(10/1/2019)
RR
Texas(9/30/2019)
RR
Virginia(9/30/2019)
RR
Washington(9/30/2019)
RR
West Virginia(9/30/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
Phone number
(800) 292-2411
Established
Firm type
Fiscal year end
# of Employees
233
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,988 |
| AUM (Assets Under Management) | $ 4,515,278,523 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/27/2025 | ||
| 02/27/2024 | ||
| 01/20/2023 |
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.
