Clyde E. Morgan
Professional summary
Clyde Eugene Morgan was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Clyde is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, Clyde had worked at 4 firms, which includes FFP SECURITIES INC., OSAIC FS INC., ANCHOR NATIONAL FINACIAL SERVICES INC, ALEXANDER HAMILTON FINANCIAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 1990 - December 31, 1990
FFP SECURITIES, INC.
October 14, 1975 - May 23, 1988
OSAIC FS, INC.
September 9, 1974 - November 6, 1975
ANCHOR NATIONAL FINACIAL SERVICES INC
June 21, 1971 - January 29, 1973
ALEXANDER HAMILTON FINANCIAL INC.
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
Series 1
Date: 12/4/1968
Registered Representative ExaminationCurrent Firm
FFP SECURITIES, INC.
CRD#: 16337 / SEC#: , 8-33728
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | 100% OWNERSHIP | |
| DOZA, JANICE M | CFO | 4663841 |
| FINDALL, LINDA SUE | SROP | 1187842 |
| FRIEDMAN, TIMOTHY NATHAN | CROP | 1967603 |
| HAEDIKE, CHRISTINE D | CCO, DIRECTOR, FFP SECURITIES, INC. | 2489703 |
| HATTON, ROBERT ALLAN | CHIEF OPERATING OFFICER | 1985166 |
| JUNKINS, CRAIG ALLEN | CEO/PRESIDENT/CHAIRMAN OF THE BOARD | 830565 |
| RODERMUND, ROBIN HENRY | DIRECTOR, FFP SECURITIES, INC. | 2097379 |
| YANNAKAKIS, ANNE KANELA | CHIEF LEGAL OFFICER | 4197441 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 10 |
| Bond | 1 |
Red Flags
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