AM
CFA
AM
CFA

Adam Christopher Morgens

20 Years of Experience
Broker
Areas of Practice
Investment ManagementRetirement Planning
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
3314 advisors
Number of Clients
222,322 clients
Average Client Portfolio
$770K average
Assets Under Management
$171.2B

Fee Structure

Minimum Investment:None
Financial Planning:Investment management only
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Location

2121 Avenue of the Stars (Fox Plaza), Suite 2100 & 2150, Los Angeles, CA, 90067

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Adam serves on the Board of Directors for Union Station Homeless Services, dedicating minimal time per week. He also co-chairs the Investment Committee for the same organization, offering financial advice and guidance a few hours per month.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
December 2015 - Present · 10 yrs 2 mos
Stifel, Nicolaus & Company, Incorporated
December 2015 - Present · 10 yrs 2 mos
Stifel, Nicolaus & Company, IncorporatedBroker
December 2015 - Present · 10 yrs 2 mos
Previous Registrations
Barclays Capital INC.
February 2013 - December 2015 · 2 yrs 10 mos
Barclays Capital INC.Broker
February 2013 - December 2015 · 2 yrs 10 mos
Unionbanc Investment Services, LLCBroker
January 2005 - February 2013 · 8 yrs 1 mo
Unionbanc Investment Services, LLC
January 2005 - February 2013 · 8 yrs 1 mo
State Registrations22 states
AZCACOCTDCFLGAHIILKSMTNCNJNMNVNYORTNTXVAWAWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.