Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Christopher Morgens is a financial advisor with Stifel, Nicolaus & Company, Inc. Adam has been in the industry since 2005 and is registered with the Securities and Exchange Commission (SEC). He is also registered with the Financial Industry Regulatory Authority (FINRA). Adam has a Bachelor of Arts degree in Economics from the University of California, Los Angeles. He is a CFA charterholder and holds the Series 3, 7, and 66 licenses. Adam's previous experience includes working for Barclays Capital Inc. and UnionBanc Investment Services, LLC. Adam specializes in providing financial planning and investment management services to individuals, families, and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
12/04/2015 - Present
Stifel, Nicolaus & Company, Inc. (LOS ANGELES CA)
CA
02/04/2013 - 12/04/2015
BARCLAYS CAPITAL INC. (LOS ANGELES CA)
CA
01/20/2005 - 02/04/2013
UNIONBANC INVESTMENT SERVICES, LLC (LOS ANGELES CA)
BOTH
Issued 01/11/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2014
Series 3 - National Commodity Futures Examination
BC
Issued 12/21/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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