James H. Morgan

JAMES MORGAN ASSET MANAGEMENT

Broomfield, CO 80021

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CRD#: 839120

Professional summary

James Henry Morgan, CFP®, who also goes by Jim Morgan, is a registered financial advisor currently at JAMES MORGAN ASSET MANAGEMENT, LLC located in Broomfield, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. James has worked at 14 firms and has passed the Series 63, Series 65, Series 7, Series 6, Series 3, Series 5 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim 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. NAME OF OTHER BUSINESS: JAMES H. MORGAN, LLC, INVESTMENT RELATED: NO, ADDRESS: 340 E. 1ST AVENUE, STE # 250A, BROOMFIELD, CO 80020, NATURE OF BUSINESS: LAW AND TAX ADVICE, START DATE: MARCH 1, 2005, APX NUMBER OF HOURS PER WEEK: 20-25 HOURS, APX NUMBER OF HOURS DURING TRADING HOURS: 20-25 HOURS, BRIEF DESCRIPTION OF DUTIES: ESTATE, BUSINESS PLANNING, TAX PLANNING AND ELDER LAW; 2. SUCCESSOR TRUSTEE OF MORGAN FAMILY TRUST, INVESTMENT RELATED: YES, SAME AS REGISTERED ADDRESS, SUCCESSOR TTEE FOR MOTHER'S TRUST, START 06/13/2013, 0HRS/WK CURRENTLY, MAY BE APPOINTED AS TTEE IF MOTHER AND SISTER ARE UNABLE TO SERVE; 3. JAMES H. MORGAN - RENTAL PROPERTY, NOT INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, RENTAL PROPERTY, START 08/2011, 0HRS/WK (NON-TRADING HOURS), RENT RESIDENCE;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Henry 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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

January 4, 2016 - Present

JAMES MORGAN ASSET MANAGEMENT, LLC

Office #1: 390 Interlocken Crescent Suite 350, Broomfield, CO 80021

RIA

CRD#: 282154

Broomfield, CO

Past

September 12, 2014 - February 25, 2016

WEALTH TEAMS ALLIANCE

RIA

CRD#: 168907

BROOMFIELD, CO

Past

February 17, 2011 - September 16, 2014

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

BROOMFIELD, CO

Past

February 17, 2011 - September 16, 2014

CETERA WEALTH SERVICES, LLC

CRD#: 13572

BROOMFIELD, CO

Past

June 22, 2009 - February 11, 2011

QA3 FINANCIAL LLC

RIA

CRD#: 104957

BRIGHTON, CO

Past

June 22, 2009 - February 11, 2011

QA3 FINANCIAL CORP.

CRD#: 14754

BRIGHTON, CO

Past

October 21, 2008 - July 6, 2009

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

GREENWOOD VILLAGE, CO

Past

July 22, 2008 - June 19, 2009

WORLD GROUP SECURITIES, INC.

CRD#: 114473

GREENWOOD VILLAGE, CO

Past

January 23, 1987 - March 25, 1991

HILLTOP SECURITIES INC.

CRD#: 6220

Past

May 15, 1985 - January 23, 1987

QUINN & CO., INC.

CRD#: 687

Past

January 1, 1984 - May 29, 1985

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

November 10, 1981 - November 22, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

October 16, 1980 - September 10, 1981

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

February 1, 1979 - November 3, 1980

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

August 28, 1978 - December 27, 1978

LOWELL H. LISTROM & COMPANY INC.

CRD#: 6336

Past

June 28, 1977 - March 10, 1978

WADDELL & REED

CRD#: 866

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

Colorado
(1/4/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/6/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/17/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 9/11/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/21/2008

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 7/23/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 6/17/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 6/5/1977

Registered Representative Examination

Current Firm

JAMES MORGAN ASSET MANAGEMENT, LLC

CRD#: 282154 / SEC#:

Colorado

Registered Investment Advisory firm - (1/4/2016 Approved)

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Contact information

Main Address

390 Interlocken Crescent Suite 350, Broomfield, CO 80021

Mailing Address

Phone number

(303) 457-9500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 9,144,236

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.

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Firm Stability Insights

James H. Morgan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Henry Morgan's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTH TEAMS ALLIANCE

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

HILLTOP SECURITIES INC.

QUINN & CO., INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

LOWELL H. LISTROM & COMPANY INC.

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 63

Date: 12/6/2012

Series 65

Date: 9/17/2008

Series 7

Date: 9/11/2009

Series 6

Date: 7/21/2008

Series 3

Date: 7/23/1984

Series 5

Date: 6/17/1982

Series 1

Date: 6/5/1977

Current Firm

JAMES MORGAN ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JAMES MORGAN ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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