Anthony Andre Morgan

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2012-11-12
CT	RA	APPROVED	2007-01-23

TX RA
APPROVED_RES

Since 2012-11-12
CT RA
APPROVED

Since 2007-01-23

Branch Locations

One Bryant Park Investment Solutions Group, New York, NY 10036 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	03/2006	Present

03/2006 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Other Businesses

I*130027 For profit or not for profit: For-Profit Organization Name of outside business organization: Diamond Property Developers Investment related: Y Address of business: Yonkers, New York 10710 Nature of business: LLC Position, title, association: Owner, Start date of relationship: 4/30/2020 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Sole membership llc (myself only) purchase multi-family home with rent paying tenants.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1990-10-23

S63 Uniform Securities Agent State Law Examination

1990-10-23

View on SEC IAPD