MS
Morgan M. Smith
KESTRA ADVISORY SERVICES
Hanover, NH 03755
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CRD#: 7171211
MS
Professional summary
Morgan Marie Smith, who also goes by Morgan Marie Gadoury, Morgan Smith, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Hanover, New Hampshire and KESTRA INVESTMENT SERVICES, LLC located in Hanover, New Hampshire.
Morgan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Morgan has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Morgan Marie Gadoury | Morgan Smith
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.
Business Name: TORCH FAMILY CAPITAL POSITION: Partner- Member NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 132 SECURITIES TRADING HOURS: 130 START DATE: 04/26/2023 ADDRESS: 44 South Main St, 2nd Floor, Hanover NH 03755, United States DESCRIPTION: Provide Investment Advisory Services to our clients, provide wealth planning and wealth strategy advice to our clients. Business Name: NEW ENGLAND SCHOOL OF THE ARTS POSITION: Board of Directors NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024ADDRESS: PO Box 594, Etna NH 03750, United States DESCRIPTION: Approve strategic plan Approve school improvement plan Determine impact on student achievement Set data-driven expectations and goals Appoint a board secretary, treasurer and board attorney Conduct team evaluation of the superintendent Meet with SBDM (school-based decision-making) councils Adopt annual budget Determine impact on student achievement Allocate resources to meet student needs Take necessary action to levy needed taxes Review district expenditures and variances Authorize payments Approve annual auditor report Approve contracts Approve facility plans Establish schools, acquire sites and erect buildings Manage all funds and property
CRS (Client Relationship Summary) - RIA
Click below to view Morgan Marie Smith'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
April 27, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 44 S Main St Floor 2, Hanover, NH 03755RIA
CRD#: 283330
Hanover, NH
Current
April 27, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 44 S. Main Street Floor 2, Hanover, NH 03755BD
CRD#: 42046
Hanover, NH
Past
March 17, 2020 - April 28, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HANOVER, NH
Past
January 10, 2020 - April 28, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HANOVER, NH
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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(4/27/2023)
RR
Colorado(4/27/2023)
RR
Connecticut(4/27/2023)
RR
Delaware(5/19/2023)
RR
Florida(4/27/2023)
RR
Georgia(4/27/2023)
RR
Hawaii(4/27/2023)
RR
Indiana(4/27/2023)
RR
Iowa(4/27/2023)
RR
Louisiana(4/27/2023)
RR
Maine(4/27/2023)
RR
Massachusetts(4/27/2023)
RR
Michigan(4/27/2023)
RR
Montana(4/27/2023)
RR
New Hampshire(4/27/2023)
IAR
New Hampshire(4/27/2023)
RR
New Jersey(4/27/2023)
RR
New York(4/27/2023)
RR
North Carolina(5/8/2023)
RR
Ohio(8/2/2024)
RR
Oregon(4/27/2023)
RR
Pennsylvania(4/27/2023)
RR
Texas(4/27/2023)
IAR
Texas(4/27/2023)
RR
Utah(4/27/2023)
RR
Vermont(4/27/2023)
RR
Virginia(4/27/2023)
RR
Wyoming(5/2/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/10/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
