Steven MorganCRD Number: 1896149
Current Firm: Msi Financial Services, Inc.
Steven Morgan (CRD# 1896149) is an Investment Advisor Representative working at Msi Financial Services, Inc. in Charlotte, NC and has over 28 years of experience in the finance industry.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Metlife Securities Inc.||Somerset, NJ||Aug 2012 - Current||4|
|Tfs Securities, Inc.||Lincroft, NJ||May 2008 - Aug 2012||4|
|Sovereign Bank||Red Bank, NJ||Sep 2005 - May 2008||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1989|
|S65||NASAA Investment Advisors Law Examination||Dec 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management13,804MILLIONS
Total Number of Accounts105,831ACCOUNTS
Average Account Value$130,432
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV