JM
John P. Morgan
SPECTRUM ADVISERS
Chapel Hill, NC
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CRD#: 2701262
JM
Professional summary
John P Morgan, who also goes by J P Morgan Jr, J P Morgan, John P Morgan Jr, John Paul Morgan Jr, John Paul Morgan, J. P. Morgan, is a registered financial advisor currently at SPECTRUM ADVISERS, LLC located in Chapel Hill, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. John has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
J P Morgan Jr | J P Morgan | John P Morgan Jr | John Paul Morgan Jr | John Paul Morgan | J. P. Morgan
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
FIELDS CONSULTING, L.L.C. - 310 BEACON RIDGE BLVD., CHAPEL HILL, NC 27516 FIELDS CONSULTING, L.L.C. IS NOT AN INVESTMENT-RELATED BUSINESS AND IS NOT A REGISTERED INVESTMENT ADVISER. MR. MORGAN IS THE MANAGING MEMBER OF THE LIMITED LIABILITY COMPANY AND THE SOLE PRINCIPAL OF THE BUSINESS AND HAS BEEN SO SINCE ITS FORMATION IN 1998. J. P. MORGAN IS A LICENSED INSURANCE PRODUCER. HE PERFORMS RELATED TASKS AND SERVICES AND IS COMPENSATED UNDER THIS SEPARATE BUSINESS ENTITY, FIELD CONSULTING, L.L.C. THESE SERVICES ARE INDEPENDENT OF OUR FINANCIAL PLANNING AND INVESTMENT ADVISORY SERVICES AND ARE GOVERNED UNDER A SEPARATE ENGAGEMENT AGREEMENT. MR. MORGAN OFFERS INSURANCE PRODUCTS AND RECEIVES CUSTOMARY FEES AS A RESULT OF INSURANCE SALES. A CONFLICT OF INTEREST EXISTS AS INSURANCE SALES MAY CREATE AN INCENTIVE TO RECOMMEND PRODUCTS BASED ON THE COMPENSATION EARNED. THIS CONFLICT IS MITIGATED BY MR. MORGAN'S FIDUCIARY DUTY TO ALWAYS ACT IN A CLIENT'S BEST INTEREST. CLIENTS HAVE THE OPTION OF ENGAGING J. P. MORGAN FOR THESE SERVICES; HOWEVER, THEY ARE IN NO WAY UNDER ANY OBLIGATION TO DO SO. IN A SIMILAR MANNER, J. P. MORGAN IS ALSO A LICENSED REAL ESTATE AGENT. AS SUCH, HE RECEIVES NORMAL AND CUSTOMARY FEES ASSOCIATED WITH REAL ESTATE TRANSACTIONS IN THEIR INDEPENDENT CAPACITY. THESE SERVICES ARE SEPARATE FROM OUR FIRM'S ADVISORY SERVICES AND ARE GOVERNED UNDER A SEPARATE AGREEMENT. CLIENTS ARE UNDER NO OBLIGATION TO ENGAGE J. P. MORGAN FOR THESE SERVICES. THIS IN NO WAY AUGMENTS MR. MORGAN FIDUCIARY RESPONSIBILITIES TO THE CLIENTS THAT HE OR SPECTRUM ADVISERS SERVES. THESE OR OTHER BUSINESS ACTIVITIES THAT MAY NOT BE DIRECTLY ATTRIBUTABLE TO SPECTRUM ADVISERS, LLC MAY CONSIST OF APPROXIMATELY 150 HRS/YEAR OF MR. MORGAN'S TIME. IF A CLIENT IS REFERRED TO AN INVESTMENT IN WHICH SPECTRUM OR ITS RELATED PERSONS HAVE AN INTEREST IN THE INVESTMENT, ADVISER AND ITS RELATED PERSONS WILL ALWAYS PUT THE INTEREST OF THE CLIENT AHEAD OF THEIR OWN INTERESTS.
CRS (Client Relationship Summary) - RIA
Click below to view John P Morgan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 2, 2010 - Present
SPECTRUM ADVISERS, LLC
RIA
CRD#: 151277
Chapel Hill, NC
Past
April 15, 1996 - January 24, 2002
SHAMROCK PARTNERS, LTD
BD
CRD#: 23955
MEDIA, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Illinois(3/2/2010)
IAR
North Carolina(2/15/2021)
IAR
Texas(11/24/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
SA
SPECTRUM ADVISERS, LLC
SPECTRUM ADVISERS, LLC
CRD#: 151277 / SEC#:
Illinois
Registered Investment Advisory firm - (3/2/2010 Approved)North Carolina
Registered Investment Advisory firm - (2/15/2021 Approved)Texas
Registered Investment Advisory firm - (11/24/2015 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Chapel Hill, NC
Mailing Address
Phone number
(312) 475-1348
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 99 |
| AUM (Assets Under Management) | $ 22,179,512 |
Red Flags
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