Paul C. Morgan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Connolly Morgan was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1980. Paul had worked at 8 firms and has passed the Series 63, Series 65, Series 7, Series 2 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2012 - June 6, 2013
FIDELITY BROKERAGE SERVICES LLC
March 16, 2002 - January 14, 2003
WAINWRIGHT INVESTMENT COUNSEL LLC
June 23, 1987 - January 25, 1988
MARCH SECURITIES CORPORATION
February 21, 1985 - December 15, 1986
BLUESTONE SECURITIES CORPORATION
November 12, 1981 - March 18, 1985
UBS FINANCIAL SERVICES INC.
May 21, 1981 - October 1, 1981
CITIGROUP GLOBAL MARKETS INC.
September 23, 1980 - July 21, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 1980 - September 8, 1980
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 12/7/1995
Non-Member General Securities ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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