Individual Firm
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STEFANIE ANN MORGAN
CRD#: 2178991
IA
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NRG WEALTH MANAGEMENTCRD#: 289548 12115 NORTH ORACLE ROAD
SUITE 151
ORO VALLEY, AZ 85737
SUITE 151
ORO VALLEY, AZ 85737
0
Disclosures
26
Years of Experience
View By:
State Registrations
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Arizona 9/13/2017
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Colorado 4/17/2024
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California 9/2/2020
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Nebraska 4/18/2024
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Registered with this firm since 9/13/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/04/2017 - 01/02/2018 | ORO VALLEY, AZ | |
B | 04/04/2011 - 01/27/2017 | ORO VALLEY, AZ | |
B | 04/08/2005 - 12/16/2005 | CHARLOTTE, NC | |
B | 04/05/2002 - 02/09/2005 | RICHMOND, VA | |
B | 04/01/1999 - 03/08/2002 | CHARLOTTE, NC | |
B | 06/01/1998 - 04/01/1999 | WINSTON SALEM, NC | |
B | 02/20/1997 - 06/01/1998 | WINSTON SALEM, NC | |
B | 10/29/1993 - 04/24/1995 | WEEHAWKEN, NJ | |
B | 10/29/1991 - 10/22/1993 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.