David E. Morgan

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CRD#: 2017086

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David E Morgan, CFP®, who also goes by David Evan Morgan, David Morgan, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1990. David had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Insurance Planning

Education Planning

Investment Planning

Estate Planning

Retirement Planning

Are you a "fiduciary"?

Aliases

David Evan Morgan | David 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.

(1)INSURANCE SERVICES OFFERED THROUGH EDELMAN FINANCIAL SERVICES, LLC AND EF LEGACY SECURITIES, LLC; INVESTMENT RELATED; FAIRFAX, VA; AGENT FOR VARIOUS INSURANCE COMPANIES; AGENT ; START DATE: MAY 2016; APPROX. 15HRS/MTH ON ACTIVITY; APPROX. 15HRS/MTH DURING SECURITIES TRADING HOURS; INSURANCE SERVICES OFFERED TO CLIENTS OF EDELMAN FINANCIAL SERVICES, LLC AND EF LEGACY SECURITIES, LLC.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Past

January 16, 2019 - August 16, 2025

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Punta Gorda, FL

Past

January 16, 2019 - August 16, 2025

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Phoenix, AZ

Past

October 12, 2018 - January 15, 2019

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

TEMPE, AZ

Past

May 20, 2016 - November 1, 2018

EDELMAN FINANCIAL SERVICES, LLC

RIA

CRD#: 113299

TEMPE, AZ

Past

May 12, 2016 - October 31, 2018

RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923

TEMPE, AZ

Past

March 27, 2006 - May 5, 2016

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SCOTTSDALE, AZ

Past

March 27, 2006 - May 5, 2016

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SCOTTSDALE, AZ

Past

May 18, 2005 - December 14, 2005

AMERITRADE ADVISORY SERVICES LLC

RIA

CRD#: 132414

SCOTTSDALE, AZ

Past

February 3, 2004 - March 15, 2006

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SCOTTSDALE, AZ

Past

January 27, 2004 - March 15, 2006

TD AMERITRADE CLEARING, INC.

CRD#: 5633

SCOTTSDALE, AZ

Past

February 24, 2000 - January 8, 2004

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

February 16, 2000 - January 8, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

January 21, 1998 - November 24, 1999

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

August 22, 1994 - January 15, 1998

AMERICAN INVESTORS COMPANY

CRD#: 38

SAN RAMON, CA

Past

June 6, 1990 - August 26, 1994

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

June 6, 1990 - August 26, 1994

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/14/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/26/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/4/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/3/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/4/2007

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 6/24/2004

General Securities Principal Examination

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

David E. Morgan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL SERVICES, LLC

RETIREONE INVESTMENT SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

AMERITRADE ADVISORY SERVICES LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE CLEARING, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

OSAIC FS, INC.

AMERICAN INVESTORS COMPANY

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/14/1998

Series 63

Date: 2/26/1991

SIE

Date: 10/1/2018

Series 7

Date: 12/9/1997

Series 6

Date: 6/4/1990

Series 10

Date: 7/3/2007

Series 9

Date: 5/4/2007

Series 24

Date: 6/24/2004

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

Contact information

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