David Morgan (CRD# 2613062) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Mankato, MN and has over 29 years of experience in the finance industry. David Morgan has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 1077782
Ameriprise Financial Services, LLC
CRD# 2426213
The Sherwin Group
CRD# 6873468
Edward Jones
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Mason City, IA | Oct 2009 - Current | 14 |
| Ubs Financial Services Inc. | Mason City, IA | Aug 2006 - Current | 17 |
| Piper Jaffray Inc. | Mason City, IA | May 1996 - Current | 28 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | May 1995 |
| S65 | NASAA Investment Advisors Law Examination | Jul 1996 |
- IA
- MN
- TX
-
Total Assets Under Management149,249MILLIONS
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Total Number of Accounts348,524ACCOUNTS
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Average Account Value$428,231
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- 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, AZ, 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, VI, VT, WA, WI, WV, WY
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