David G. Moring

HUBER, CARDONO, MORING & RICHTER, L.P.

HOUSTON, TX 77098

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CRD#: 1691268

Professional summary

David George Moring is a registered financial advisor currently at HUBER, CARDONO, MORING & RICHTER, L.P. located in Houston, Texas.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. David has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1)DAVID G.MORING,ATTORNEY AT LAW;NOT SECURITIES RELATED OTHER THAN INCIDENTAL TO THE PRACTICE OF LAW;SOLO PRIVATE ATTN. 2)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE CO. 3)DGM CONSTRUCTION COMPANY LLC, 3700 BUFFALO SPEEDWAY, STE 420., HOUSTON, TX 77098. BEGAN 12/01/10 AS CONSTRUCTION LABOR CONTRACTOR THAT CONTRACT CONSTRUCTION LABOR TO CERTAIN GENERAL CONTRACTORS. I OWN AND OPERATE COMPANY AND HAVE NO OTHER MANAGEMENT EMPLOYEES. NOT INVESTMENT RELATED. DEVOTES 5HR/WK, 0/TRADE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David George Moring'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®

None

Experience

Current

July 3, 2006 - Present

HUBER, CARDONO, MORING & RICHTER, L.P.

Office #1: 3700 Buffalo Speedway Suite 420, Houston, TX 77098

RIA

CRD#: 110705

HOUSTON, TX

Past

April 20, 2007 - April 23, 2014

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

HOUSTON, TX

Past

November 8, 1996 - April 12, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

HOUSTON, TX

Past

June 24, 1987 - October 7, 1996

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

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

Texas
(7/3/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/24/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/13/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/1999

General Securities Principal Examination

Current Firm

HUBER, CARDONO, MORING & RICHTER, L.P.

D/B/A HUBER, CARDONO, MORING & RICHTER, L.P. | HUBER, CARDONO, MORING & RICHTER, L.P. | HUBER, CARDONO & MORING, L.P.

CRD#: 110705 / SEC#: 801-53391

RIA

Registered Investment Advisory firm - (10/10/2012 Terminated)

Texas

Registered Investment Advisory firm - (8/23/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Houston, TX

Mailing Address

Phone number

(713) 626-5800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	42
AUM (Assets Under Management)	$ 22,282,373

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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David G. Moring

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David George Moring's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUBER, CARDONO, MORING & RICHTER, L.P.

CAMBRIDGE INVESTMENT RESEARCH, INC.

MML INVESTORS SERVICES, LLC

THE ADVISORS GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/24/2006

Series 63

Date: 10/13/1987

Series 7

Date: 6/20/1987

Series 24

Date: 6/22/1999

Current Firm

HUBER, CARDONO, MORING & RICHTER, L.P.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HUBER, CARDONO, MORING & RICHTER, L.P.

TRUST BUT VERIFY

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