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WM

William J. Morgan

FIDELITY BROKERAGE SERVICES LLC
Boston, MA 02210
Some features on this profile are disabled
CRD#: 5632710
WM

Professional summary

William J Morgan III, who also goes by William J Morgan, William Joseph Morgan III, William Joseph Morgan, William Morgan III, William Morgan, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts and FIDELITY DISTRIBUTORS COMPANY LLC located in Boston, Massachusetts.

William is registered as a RR (Registered Representative) and started their career in finance in 2009. William has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

William J Morgan | William Joseph Morgan Iii | William Joseph Morgan | William Morgan Iii | William 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) - BD

Click below to view William J Morgan III'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®
None

Experience

Current

November 16, 2020 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 245 Summer Street, Boston, MA 02210
BD
CRD#: 7784
Boston, MA
Current

September 7, 2021 - Present

FIDELITY DISTRIBUTORS COMPANY LLC

Office #1: 245 Summer Street, Boston, MA 02210
BD
CRD#: 17507
Boston, MA
Past

September 8, 2021 - March 24, 2025

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

January 26, 2011 - October 6, 2017

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BOSTON, MA
Past

September 2, 2009 - January 6, 2010

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

March 31, 2009 - July 23, 2009

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(11/16/2022)
RR
Alaska
(11/16/2022)
RR
Arizona
(11/16/2022)
RR
Arkansas
(1/5/2024)
RR
California
(11/16/2022)
RR
Colorado
(1/10/2022)
RR
Connecticut
(11/16/2022)
RR
Delaware
(11/16/2022)
RR
District of Columbia
(1/10/2022)
RR
Florida
(1/10/2022)
RR
Georgia
(11/16/2022)
RR
Hawaii
(11/16/2022)
RR
Idaho
(11/16/2022)
RR
Illinois
(11/16/2022)
RR
Indiana
(11/16/2022)
RR
Iowa
(11/16/2022)
RR
Kansas
(11/16/2022)
RR
Kentucky
(11/16/2022)
RR
Louisiana
(1/10/2022)
RR
Maine
(11/16/2022)
RR
Maryland
(1/10/2022)
RR
Massachusetts
(11/16/2022)
RR
Michigan
(11/16/2022)
RR
Minnesota
(11/16/2022)
RR
Mississippi
(11/16/2022)
RR
Missouri
(11/16/2022)
RR
Montana
(11/16/2022)
RR
Nebraska
(11/16/2022)
RR
Nevada
(11/16/2022)
RR
New Hampshire
(11/16/2022)
RR
New Jersey
(11/16/2022)
RR
New Mexico
(11/16/2022)
RR
New York
(11/16/2022)
RR
North Carolina
(11/16/2022)
RR
North Dakota
(11/16/2022)
RR
Ohio
(11/16/2022)
RR
Oklahoma
(11/16/2022)
RR
Oregon
(11/16/2022)
RR
Pennsylvania
(11/16/2022)
RR
Puerto Rico
(1/10/2022)
RR
Rhode Island
(11/16/2022)
RR
South Carolina
(11/16/2022)
RR
South Dakota
(11/16/2022)
RR
Tennessee
(11/16/2022)
RR
Texas
(11/16/2022)
RR
Utah
(11/16/2022)
RR
Vermont
(11/16/2022)
RR
Virginia
(11/16/2022)
RR
Washington
(11/16/2022)
RR
West Virginia
(11/16/2022)
RR
Wisconsin
(11/16/2022)
RR
Wyoming
(11/16/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 11/16/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/6/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/30/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/30/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

FD
FIDELITY DISTRIBUTORS COMPANY LLC
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY

CRD#: 17507 / SEC#: , 8-35097

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

Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone Wg3d, Westlake, TX 76262
Phone number
(800) 237-8132
Established
Delaware since 01/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.STOCKHOLDER
ACKERMAN, CHARLES ALLANDIRECTOR2168517
ADAMS, ROBERTCOO1291582
GUSTAFSON, DALTONPRESIDENT/DIRECTOR2439305
HAGGERTY, MARK AEXECUTIVE VICE PRESIDENT/DIRECTOR4347837
KAVANAUGH, NATALIE ANNCHIEF LEGAL OFFICER
MCGINTY, JOHN JR.CHIEF COMPLIANCE OFFICER5560420
RHODES, NOAH BUTLERCHIEF FINANCIAL OFFICER6546392

Disclosures

Regulatory Event3
Arbitration17

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

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507Boston, MA 02210

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