BM
Brian Morgan
WOLVERINE TRADING
Chicago, IL 60604
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CRD#: 6453896
BM
Professional summary
Brian Morgan, who also goes by Morgan Brian, is a registered financial professional currently at WOLVERINE TRADING, LLC located in Chicago, Illinois and WOLVERINE EXECUTION SERVICES, LLC located in Chicago, Illinois.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2015. Brian has worked at 2 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE and Series 56 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Morgan Brian
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.
CRS (Client Relationship Summary) - BD
Click below to view Brian Morgan'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®
NoneExperience
Current
April 10, 2015 - Present
WOLVERINE TRADING, LLC
Office #1: 175 W Jackson Suite 200, Chicago, IL 60604BD
CRD#: 36848
Chicago, IL
Current
November 11, 2019 - Present
WOLVERINE EXECUTION SERVICES, LLC
Office #1: 175 W. Jackson Blvd., Suite 200, Chicago, IL 60604BD
CRD#: 120719
Chicago, IL
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
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 7TO
Date: 6/20/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 56
Date: 3/26/2015
Proprietary Trader Qualification ExaminationSRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WE
WOLVERINE EXECUTION SERVICES, LLC
WOLVERINE EXECUTION SERVICES, LLC
CRD#: 120719 / SEC#: , 8-65336
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
175 W. Jackson Blvd., Suite 200, Chicago, IL 60604
Mailing Address
175 W. Jackson Blvd., Suite 200, Chicago, IL 60604
Phone number
(312) 884-4000
Established
Illinois since 07/19/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOLVERINE TRADING, LLC | LIMITED LIABILITY CORPORATION | 36848 |
| CAVICKE, DAVID | CHIEF LEGAL COUNSEL | 6027073 |
| KULA, JUDITH MARIE | CHIEF FINANCIAL OFFICER FINOP | 1255502 |
| MURPHY, PATRICK TIMOTHY | CHIEF OPERATING OFFICER/EXECUTIVE REPRESENTATIVE | 2057769 |
| MURRAY, CRAIG JOHN | CHIEF COMPLIANCE OFFICER | 6136205 |
| SOWERS, BRAD ALLEN | ROSFP | 2530780 |
Disclosures
| Regulatory Event | 43 |
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.
