Alan D. Morgenstern
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.
Alan Douglas Morgenstern was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1977. Alan had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 1 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
July 7, 2011 - October 12, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 1, 2011 - October 12, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 3, 2011 - July 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - July 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 27, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 27, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 31, 2006 - October 11, 2007
INVEST FINANCIAL CORPORATION
August 31, 2006 - October 11, 2007
INVEST FINANCIAL CORPORATION
November 29, 2000 - September 5, 2006
WADDELL & REED
November 15, 2000 - September 5, 2006
WADDELL & REED
January 6, 1977 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 6, 1977 - January 26, 2000
IDS LIFE INSURANCE COMPANY
January 6, 1977 - January 26, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 1
Date: 12/27/1976
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
