Keith Morgan: Ex-UBS Advisor Faces Suitability Complaint

Lake Oswego, Oregon financial advisor Keith Morgan (CRD# 3139407) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Steward Partners.

Mr. Morgan’s BrokerCheck report discloses one investor complaint. Filed in January 2025, it alleges that as a representative of UBS Financial Services, he recommended an unsuitable alternative investment and failed to do adequate due diligence. The pending complaint alleges damages of $274,000.

Steward Partners’ website includes a profile of Mr. Morgan that describes his background and credentials as a Senior Vice President at the firm. “[He] has been an advisor for families, individuals, and small business owners,” it explains. “He works closely with his clients and provides a thoughtful, personalized approach to planning their investment strategies and retirement plans.”

According to the Financial Industry Regulatory Authority, Keith Morgan holds 26 years of securities industry experience. Based in Lake Oswego, Oregon, he has been registered as a broker with registered as a broker and an investment advisor with Steward Partners since 2010 and 2023, respectively. His registration history includes UBS Financial Services (Lake Oswego, Oregon; 2007-2009) and Citigroup Global Markets (Lake Oswego, Oregon; 1998-2007). His credentials include the passage of seven securities industry qualifying exams: the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the Futures Managed Funds Examination, or Series 31; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Arizona, Arkansas, California, Florida, Georgia, Hawaii, Minnesota, Ohio, Oregon, Virginia, and Washington. (Information current as of February 19, 2025.)

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