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Morgan Jewelene Pruett

Morgan J. Pruett

VIVALDI CAPITAL MANAGEMENT LP | Financial Consultant
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6940719
Morgan Jewelene Pruett

Professional summary

Morgan Jewelene Pruett, who also goes by Morgan J Pruett, is a registered financial advisor currently at VIVALDI CAPITAL MANAGEMENT LP located in Chicago, Illinois.

Morgan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Morgan has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.

Biography

As a Financial Consultant, I partner with clients to help them work towards their financial goals. We will work together to analyze your current financial situation, determine your goals, and implement a plan to reach for those goals.
top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Morgan J Pruett

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.
OBA-103297|OrgNmn:CorePower Yoga|Org Addr:Chicago,Illinois,US|OBA Nature:Yoga studio, teaching yoga cla|Invst Rel:N|Title:Yoga Instructor|Duties:Cleaning a yoga studio in between yoga classes|StrtDt:01-10-25|TotHrs/mon:16|TrdHrs/mon:0|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Morgan Jewelene Pruett'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

Education

Colorado State University

Bachelor of Science (BS) - Business Administration - Finance

2018

Experience

Current

June 5, 2025 - Present

VIVALDI CAPITAL MANAGEMENT LP

Office #1: 225 West Wacker Suite 2100, Chicago, IL 60606
RIA
CRD#: 160150
Chicago, IL
Past

March 31, 2025 - April 21, 2025

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
CHICAGO, IL
Past

June 28, 2021 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
CHICAGO, IL
Past

April 12, 2021 - April 21, 2025

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
CHICAGO, IL
Past

April 9, 2019 - April 10, 2021

TD AMERITRADE, INC.

RIA
CRD#: 7870
NORTHBROOK, IL
Past

April 9, 2019 - April 10, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
NORTHBROOK, IL
Past

March 22, 2019 - April 10, 2021

TD AMERITRADE, INC.

BD
CRD#: 7870
NORTHBROOK, IL

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".
VC
VIVALDI CAPITAL MANAGEMENT LP
GOLDEN, RANDAL LAWRENCE | VIVALDI INVESTMENT RESEARCH | VIVALDI INNOVATIVE TECHNOLOGIES LLC (RELYING ADVISER) | VIVALDI CAPITAL MANAGEMENT, LLC | VIVALDI CAPITAL MANAGEMENT LP | VCM RETIREMENT PLAN SERVICES

CRD#: 160150 / SEC#: 801-73024

RIA
Registered Investment Advisory firm - (2/13/2012 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Illinois
(6/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/8/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/22/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/12/2019
Securities Industry Essentials Examination

Current Firm

VC
VIVALDI CAPITAL MANAGEMENT LP
GOLDEN, RANDAL LAWRENCE | VIVALDI INVESTMENT RESEARCH | VIVALDI INNOVATIVE TECHNOLOGIES LLC (RELYING ADVISER) | VIVALDI CAPITAL MANAGEMENT, LLC | VIVALDI CAPITAL MANAGEMENT LP | VCM RETIREMENT PLAN SERVICES

CRD#: 160150 / SEC#: 801-73024

RIA
Registered Investment Advisory firm - (2/13/2012 Approved)
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Contact information

Main Address
225 West Wacker Suite 2100, Chicago, IL 60606
Mailing Address
Phone number
(312) 248-8300
Established
Firm type
Fiscal year end
# of Employees
69

SEC notice filing (45 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

VIVALDI CAPITAL MANAGEMENT LP FORM ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts8,413
AUM (Assets Under Management)$ 4,647,085,822

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/22/2024
Cover Page
Report
10/24/2023
Cover Page
Report
07/26/2022
Cover Page
Report

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

VIVALDI CAPITAL MANAGEMENT LP

Financial ConsultantCRD#: 160150Chicago, IL 60606

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Contact information

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