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JM

James S. Morgan

FNBB CAPITAL MARKETS
Shreveport, LA 71101
Some features on this profile are disabled
CRD#: 6368122
JM

Professional summary

James Sheppard Morgan II, who also goes by Shep Morgan, is a registered financial professional currently at FNBB CAPITAL MARKETS, LLC located in Shreveport, Louisiana.

James is registered as a RR (Registered Representative) and started their career in finance in 2014. James has worked at 1 firm and has passed the Series 63, SIE, Series 52 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shep 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 James Sheppard Morgan II'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

September 15, 2014 - Present

FNBB CAPITAL MARKETS, LLC

Office #1: 333 Texas Street Suite 1280, Shreveport, LA 71101
RIA
BD
CRD#: 132091
Shreveport, LA

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
(9/2/2021)
RR
Arkansas
(12/18/2024)
RR
Louisiana
(9/25/2014)
RR
Ohio
(9/3/2021)
RR
Texas
(9/17/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/2014
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 52
Date: 11/25/2014
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FNBB CAPITAL MARKETS, LLC
FNBB CAPITAL MARKETS, LLC

CRD#: 132091 / SEC#: , 8-66553

Alabama
Registered Investment Advisory firm - SEC (8/2/2017 Approved)
Louisiana
Registered Investment Advisory firm - SEC (8/3/2017 Approved)
Mississippi
Registered Investment Advisory firm - SEC (9/6/2017 Approved)
Tennessee
Registered Investment Advisory firm - SEC (8/7/2017 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
600 University Park Place Suite 380, Birmingham, AL 35209
Mailing Address
600 University Park Place Suite 380, Birmingham, AL 35209
Phone number
(205) 262-2522
Established
Louisiana since 11/24/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
29

FINRA licenses (43 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
FIRST NATIONAL BANKER'S BANKSHARES, INC.PARENT COMPANY
BOUDREAUX, LAURA J.PRINCIPAL/CHIEF COMPLIANCE OFFICER/CFO/FINOP/AML OFFICER/PRINCIPAL FINANCIAL OFFICER4823412
CORTS, CHRISTIAN HAASPRESIDENT/CHIEF EXECUTIVE OFFICER/DESIGNATED PRINCIPAL/EVP/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER2581628
QUINLAN, JOSEPH FRANCIS JRMEMBER1579877

Disclosures

Regulatory Event2

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

FNBB CAPITAL MARKETS, LLC

CRD#: 132091Shreveport, LA 71101

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