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AM

Alexander L. Morgan

THREADMARK LP
Larkspur, CA 94939
Some features on this profile are disabled
CRD#: 6744751
AM

Professional summary

Alexander Legrand Kelly Morgan is a registered financial professional currently at THREADMARK LP located in Larkspur, California.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2017. Alexander has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexander Legrand Kelly 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®
None

Experience

Current

June 8, 2023 - Present

THREADMARK LP

Office #1: 80 East Sir Francis Drake Blvd Suite 4k, Larkspur, CA 94939
BD
CRD#: 173318
Larkspur, CA
Past

March 13, 2017 - March 29, 2019

PANTHEON SECURITIES, LLC

BD
CRD#: 285480
San Francisco, CA

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
California
(6/12/2023)
RR
Connecticut
(6/9/2023)
RR
Florida
(6/8/2023)
RR
Illinois
(6/12/2023)
RR
Maryland
(6/8/2023)
RR
New York
(6/12/2023)
RR
Ohio
(6/26/2023)
RR
Virginia
(6/12/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/10/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/8/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/26/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TL
THREADMARK LP
THREADMARK LP

CRD#: 173318 / SEC#: , 8-69535

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
300 Park Avenue 2nd Floor, New York, NY 10022
Mailing Address
300 Park Avenue 2nd Floor, New York, NY 10022
Phone number
(917) 397-2301
Established
Delaware since 04/22/2014
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
THREADMARK GP, LLCGENERAL PARTNER
AHUJA, AJAYCFO/COO/POO2720807
CHAPMAN, BRUCE HUNTLEACCO5062739
GALES, WILHELMINA ANNA MCEO2951268
ROCHE, PASCALFINOP/PFO5920968

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

THREADMARK LP

CRD#: 173318Larkspur, CA 94939

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