John Joseph Morgan

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2020-05-05
TX	RA	APPROVED_RES	2020-04-28

IL RA
APPROVED

Since 2020-05-05
TX RA
APPROVED_RES

Since 2020-04-28

Branch Locations

Batavia, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Royal Alliance Associates	Peabody	MA	04/2005	04/2020
New England Schooner, Inc.	Peabody	MA	04/2005	04/2020
Lpl Financial Llc	Batavia	IL	04/2020	Present

04/2005 → 04/2020

Royal Alliance Associates

Peabody, MA
04/2005 → 04/2020

New England Schooner, Inc.

Peabody, MA
04/2020 → Present

Lpl Financial Llc

Batavia, IL

Previous Registrations

2006-12-05 → 2020-04-29

New England Schooner, Inc.

Peabody, MA

Other Businesses

1. 10/15/2021 - BULLBUFF LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 10/12/2021 - 0 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-08-17
S63	Uniform Securities Agent State Law Examination	2001-06-21

S65 Uniform Investment Adviser Law Examination

2006-08-17
S63 Uniform Securities Agent State Law Examination

2001-06-21

View on SEC IAPD