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MM

Marc P. Morgan

Some features on this profile are disabled
CRD#: 6107691
MM

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.

Marc Preston Morgan was a registered financial professional .

Marc is a previously registered financial professional and started their career in finance in 2012. Marc had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
Polymath Publishing House, Non Investment Related, Located in Sacramento, CA, content creation, topic research, member, internet publishing, self publishing, 15 hours per month, none during trading hours

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 26, 2022 - January 8, 2025

LAIDLAW WEALTH MANAGEMENT LLC

RIA
CRD#: 150040
NEW YORK, NY
Past

January 13, 2014 - January 8, 2025

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
SAN FRANCISCO, CA
Past

March 26, 2013 - January 31, 2014

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

August 22, 2012 - March 21, 2013

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY

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".
LW
LAIDLAW WEALTH MANAGEMENT LLC
LAIDLAW ASSET MANAGEMENT | NAPLES WEALTH PLANNING | LAIDLAW WEALTH MANAGEMENT LLC | LAIDLAW HOLDINGS, PLC | LAIDLAW DIRECT | LAIDLAW BLUE | LAIDLAW ASSET MANAGEMENT, LLC. | LAIDLAW ASSET MANAGEMENT, LLC

CRD#: 150040 / SEC#: 801-112592

RIA
Registered Investment Advisory firm - (3/9/2018 Approved)
New Jersey
Registered Investment Advisory firm - (4/13/2018 Terminated)
New York
Registered Investment Advisory firm - (4/5/2018 Terminated)
North Carolina
Registered Investment Advisory firm - (4/5/2018 Terminated)
Texas
Registered Investment Advisory firm - (4/5/2018 Terminated)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/15/2022
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/5/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/21/2012
General Securities Representative Examination

Current Firm

LW
LAIDLAW WEALTH MANAGEMENT LLC
LAIDLAW ASSET MANAGEMENT | NAPLES WEALTH PLANNING | LAIDLAW WEALTH MANAGEMENT LLC | LAIDLAW HOLDINGS, PLC | LAIDLAW DIRECT | LAIDLAW BLUE | LAIDLAW ASSET MANAGEMENT, LLC. | LAIDLAW ASSET MANAGEMENT, LLC

CRD#: 150040 / SEC#: 801-112592

RIA
Registered Investment Advisory firm - (3/9/2018 Approved)
New Jersey
Registered Investment Advisory firm - (4/13/2018 Terminated)
New York
Registered Investment Advisory firm - (4/5/2018 Terminated)
North Carolina
Registered Investment Advisory firm - (4/5/2018 Terminated)
Texas
Registered Investment Advisory firm - (4/5/2018 Terminated)
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Contact information

Main Address
521 Fifth Ave 12th Floor, New York, NY 10175
Mailing Address
Phone number
(212) 953-4910
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (5 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LAIDLAW WEALTH MANAGEMENT FORM ADV PART 2A (MARCH 28, 2025) (3/28/2025)

Regulatory assets under management

Total Number of Accounts235
AUM (Assets Under Management)$ 114,764,475

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

LAIDLAW WEALTH MANAGEMENT LLC

CRD#: 150040

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