Garrett P. Morgan

PROVIDENCE FINANCIAL AND INSURANCES | Financial Advisor

WOODLAND HILLS, CA 91367

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CRD#: 6323889

Professional summary

Garrett Paul Morgan, who also goes by Garrett P Morgan, Garrett Morgan, is a registered financial advisor currently at PROVIDENCE FINANCIAL AND INSURANCES, INC. located in Woodland Hills, California.

Garrett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Garrett has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Garrett P Morgan | Garrett 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.

1)01/14/2025 - Southland Investment Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Garrett Paul Morgan's CRS (Customer Relationship Summary).

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

October 30, 2025 - Present

PROVIDENCE FINANCIAL AND INSURANCES, INC.

Office #1: 6320 Canoga Avenue, Suite 600, Woodland Hills, CA 91367

RIA

CRD#: 149777

RANCHO SANTE FE, CA

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".

PROVIDENCE FINANCIAL AND INSURANCES, INC.

CRD#: 141988 / SEC#: 801-121770

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

California

Registered Investment Advisory firm - (8/28/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(10/30/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/27/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/29/2014

General Securities Representative Examination

Current Firm

PROVIDENCE FINANCIAL AND INSURANCES, INC.

CRD#: 141988 / SEC#: 801-121770

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

California

Registered Investment Advisory firm - (8/28/2021 Terminated)

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Contact information

Main Address

6320 Canoga Avenue, Suite 600, Woodland Hills, CA 91367

Mailing Address

Phone number

(818) 887-6443

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PFIS ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,362
AUM (Assets Under Management)	$ 189,507,150

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Garrett P. Morgan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Garrett Paul Morgan's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

EDWARD JONES

EDWARD JONES

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

PROVIDENCE FINANCIAL AND INSURANCES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/27/2014

SIE

Date: 10/1/2018

Series 7

Date: 5/29/2014

Current Firm

PROVIDENCE FINANCIAL AND INSURANCES, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROVIDENCE FINANCIAL AND INSURANCES, INC.

TRUST BUT VERIFY

Contact information

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