Kaegen C. Morris

WALLACHBETH CAPITAL LLC

JERSEY CITY, NJ 07311

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CRD#: 6574767

Professional summary

Kaegen Christopher Morris is a registered financial professional currently at WALLACHBETH CAPITAL LLC located in Jersey City, New Jersey.

Kaegen is registered as a RR (Registered Representative) and started their career in finance in 2016. Kaegen has worked at 3 firms and has passed the Series 63, Series 66, Series 57TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kaegen Christopher Morris'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 20, 2019 - Present

WALLACHBETH CAPITAL LLC

Office #1: Harborside Financial Center Plaza 5 185 Hudson Street, Suite 1410, Jersey City, NJ 07311

CRD#: 147853

JERSEY CITY, NJ

Past

November 9, 2018 - August 7, 2019

THE HAJDARI GROUP, LLC

RIA

CRD#: 289331

NEW YORK, NY

Past

October 12, 2016 - July 31, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

NEW YORK, NY

State Registrations and Notice Filings

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

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

New Jersey
(7/11/2022)

New York
(7/11/2022)

Exams

State Security Law Exam

Series 63

Date: 7/9/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/9/2018

Uniform Combined State Law Examination

General Industry/Product Exam

Series 57TO

Date: 11/6/2021

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 7/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/2016

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

WALLACHBETH CAPITAL LLC

CRD#: 147853 / SEC#: , 8-67936

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

1001 Yamato Rd. Suite 404, Boca Raton, FL 33431

Mailing Address

1001 Yamato Rd. Suite 404, Boca Raton, FL 33431

Phone number

(646) 237-8585

Established

New York since 05/05/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (44 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WALLACHBETH HOLDINGS LLC	95% OWNER
SAGO MANAGEMENT, LLC	5% OWNER
BETH, DAVID JAY	COO/PRESIDENT/ MANAGING MEMBER	2470494
OH, SEUNG CHEOL	CFO, FNOP	4632040
SCHWEITZER, ERIC BRUCE	CHIEF COMPLIANCE OFFICER	1036891
WALLACH, MICHAEL CONRAD	CHIEF EXECUTIVE OFFICER/MANAGING MEMBER	2376092

Disclosures

Regulatory Event

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.

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Kaegen C. Morris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kaegen Christopher Morris's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE HAJDARI GROUP, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/9/2022

Series 66

Date: 11/9/2018

Series 57TO

Date: 11/6/2021

SIE

Date: 7/31/2017

Series 7

Date: 10/12/2016

FINRA

Nasdaq Stock Market

Current Firm

WALLACHBETH CAPITAL LLC

Contact information

FINRA licenses (44 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WALLACHBETH CAPITAL LLC

TRUST BUT VERIFY

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