BM
Benjamin J. Morgan
PACKERLAND BROKERAGE SERVICES
Garden Grove, CA
Some features on this profile are disabled
CRD#: 6879714
BM
Professional summary
Benjamin John Morgan, who also goes by Benjamin Morgan, is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in Garden Grove, California.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Benjamin has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Benjamin 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) Jade Stone Properties LLC; not investment related; 10581 Sennit Ave, Garden Grove CA 92843; real estate; member; 01/01/2015-present; 0 hours/month(0 during market hours); family residential real estate business, no active involvement. 2). Building Trades Network; not investment related; 2109-C S Wright St, Santa Ana, CA 92705; Non-profit Construction Trades Networking Group; 02/01/2022-persent; 2 hours/month (1 during market hours). 3) QX Financial; 500 N State College Blvd., Suite 1100, Orange, CA 92868; Agent; 01/01/2017-present; 170 hours/month( 80 during market hours); sale of life insurance, disability insurance, long term care insurance, health insurance and fixed and indexed annuities. Some sales of life insurance would be engaging in the sale of policies involving premium financing and/or the collateral assignment of policies by the clients through outside lenders or banking institutions not associated with the Financial Adviser. Merlin Financial Services, Inc DBA Merlin Financial 10581 Sennit Ave Garden Grove CA, 92843 United States Phone Number: 7145592552 Delivers online training courses, for professionals in financial services; in the field of human relations, effective communication, effective speaking, memory improvement, effective presentations, problem-solving, conflict resolution, diversity and inclusion, stress control, time management, personnel and customer relations, business management, development of courage, self-confidence and leadership abilities, selling skills and other business skills. Provides direct training and support services to professionals in financial services including the above services; and in addition to the above services; fractional office administrators, that manage the submission and processing of paperwork provided to the company???s Broker-Dealer (Packerland Brokerage Services, Inc.) for persons appointed to the Broker-Dealer, and product and service providers including, insurance companies, annuity companies, investment companies, custodians, banks, accountants, and tax professionals; pre-approved marketing materials, electronically accessible tools, systems, and processes for the effective acquisition and servicing of their clients. Start date: 11/01/2023 Business Address: 10581 Sennit Ave Garden Grove CA 92843 Website under construction: https://merlinfinancial.net/ Hours devoted to this activity per month: 20 Ownership interest: 100% Investment related: Yes
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin John Morgan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Benjamin John 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
March 7, 2022 - Present
PACKERLAND BROKERAGE SERVICES, INC.
RIA
BD
CRD#: 37031
Garden Grove, CA
Current
March 7, 2022 - Present
PACKERLAND BROKERAGE SERVICES, INC.
RIA
BD
CRD#: 37031
Garden Grove, CA
Past
May 4, 2018 - February 9, 2022
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
Orange, CA
Past
March 12, 2018 - February 9, 2022
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Garden Grove, 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".
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.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
Arizona(3/7/2022)
IAR
Arizona(3/23/2022)
RR
California(3/7/2022)
IAR
California(3/8/2022)
RR
Hawaii(8/9/2022)
RR
Idaho(3/30/2022)
IAR
Idaho(4/1/2022)
RR
Nevada(3/7/2022)
IAR
Nevada(3/21/2022)
RR
Texas(11/14/2022)
IAR
Texas(11/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
432 Security Blvd. Ste. 101, Green Bay, WI 54313-9709
Mailing Address
432 Security Blvd., Green Bay, WI 54313
Phone number
(920) 662-9500
Established
Wisconsin since 07/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
286
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
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.
