MORGAN PEABODY, INC.
CRD #38306 SEC #801-63291 STUDIO CITY, CA 818-761-7100
SEC Registered Broker-Dealer
Total AUM
$0
Discretionary
$0
Employees
10
Clients
0
Accounts
0
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 22, 2004
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BASE, ROBERT STEPHEN | I | CFO, FINOP | NA | Control |
| BASE, ROBERT STEPHEN | I | CFO, FINOP | NA | Control |
| BASE, ROBERT STEPHEN | I | CFO, FINOP | NA | Control |
| BORRIES, FRED ALLEN JR | I | CCO | NA | Control |
| BORRIES, FRED ALLEN JR | I | CCO | NA | Control |
| BORRIES, FRED ALLEN JR | I | CCO | NA | Control |
| BROSCHE, LINDA ANN | I | COO, CROP | NA | Control |
| BROSCHE, LINDA ANN | I | COO, CROP | NA | Control |
| BROSCHE, LINDA ANN | I | COO, CROP | NA | Control |
| CREASER, ROBERT DALTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GREENFIELD, JONATHAN JAY | I | VICE PRESIDENT | NA | |
| MARTINEZ, CELIA | I | SR. VICE PRESIDENT, MUNI PRINCIPAL | NA | |
| MARTINEZ, CELIA | I | SR. VICE PRESIDENT, MUNI PRINCIPAL | NA | |
| MARTINEZ, CELIA | I | SR. VICE PRESIDENT, MUNI PRINCIPAL | NA | |
| WILLIAMS, DAVID ALLEN | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| WILLIAMS, DAVID ALLEN | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| WILLIAMS, DAVID ALLEN | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| WILLIAMS, DAVID ALLEN | I | PRESIDENT | NA | Control |
| WILLIAMS, DAVID ALLEN | I | PRESIDENT | NA | Control |
| WILLIAMS, DAVID ALLEN | I | PRESIDENT | NA | Control |
| WILLIAMS, DAVID ALLEN | I | PRESIDENT | NA | Control |
| WFG HOLDINGS, INC. | DE | PARENT CORPORATION | E | |
| WFG HOLDINGS, INC. | DE | PARENT CORPORATION | E | |
| WFG HOLDINGS, INC. | DE | PARENT CORPORATION | E | |
| WFG HOLDINGS, INC. | DE | PARENT CORPORATION | E | |
| WFG HOLDINGS, INC. | DE | PARENT CORPORATION | E | |
| WFG HOLDINGS, INC. | DE | PARENT CORPORATION | E | |
| WFG HOLDINGS, INC. | DE | PARENT CORPORATION | E | |
| ZEIGER, ROBERT SCOTT | I | PRESIDENT | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| WILLIAMS, DAVID ALLEN | I | WFG HOLDINGS, INC. | E | Control |
| WILLIAMS, DAVID ALLEN | I | WFG HOLDINGS, INC. | E | Control |
| WILLIAMS, DAVID ALLEN | I | WFG HOLDINGS, INC. | E | Control |
| WILLIAMS, DAVID ALLEN | I | WFG HOLDINGS, INC. | E | Control |
| WILLIAMS, DAVID ALLEN | I | WFG HOLDINGS, INC. | E | Control |
| WILLIAMS, DAVID ALLEN | I | WFG HOLDINGS, INC. | E | Control |
| WILLIAMS, DAVID ALLEN | I | WFG HOLDINGS, INC. | E | Control |
Registrations
Federal
IA
Jun 22, 2004 REGISTERED
Notice Filings (3)
CA IL KS
Address
4400 COLDWATER CANYON AVE.,SUITE 100
STUDIO CITY, CA 91604
USA
Phone: 818-761-7100