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David J. Morrow

THE FIDUCIARY ALLIANCE
BEAUMONT, TX 77706
Some features on this profile are disabled
CRD#: 2178372
DM

Professional summary

David Jon Morrow, who also goes by Dave Morrow, David J Morrow, David Morrow, is a registered financial advisor currently at THE FIDUCIARY ALLIANCE located in Beaumont, Texas.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. David has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dave Morrow | David J Morrow | David Morrow

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) Name of Business: Morrow Wealth Advisory Group Address: 1465 Cornerstone Court, Suite B, Beaumont, TX, 77706, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 04/13/2018 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor, Branch Manager

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jon Morrow's CRS (Customer Relationship Summary).
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

March 25, 2024 - Present

THE FIDUCIARY ALLIANCE

Office #1: 1465 Cornerstone Court Suite B, Beaumont, TX 77706
RIA
CRD#: 284924
BEAUMONT, TX
Past

April 13, 2018 - April 2, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Beaumont, TX
Past

April 13, 2018 - April 2, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
Beaumont, TX
Past

June 1, 2009 - April 16, 2018

MORGAN STANLEY

RIA
CRD#: 149777
BEAUMONT, TX
Past

June 1, 2009 - April 16, 2018

MORGAN STANLEY

BD
CRD#: 149777
BEAUMONT, TX
Past

August 15, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
HOUSTON, TX
Past

August 15, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
HOUSTON, TX
Past

July 23, 1999 - August 29, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BEAUMONT, TX
Past

July 23, 1999 - August 29, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
BEAUMONT, TX
Past

January 11, 1996 - July 26, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

October 17, 1991 - January 15, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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".
TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES

CRD#: 284924 / SEC#: 801-108283

RIA
Registered Investment Advisory firm - (8/17/2016 Approved)

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
(3/25/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/22/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/5/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/9/2010
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/8/2010
General Securities Sales Supervisor - Options Module Examination

Current Firm

TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES

CRD#: 284924 / SEC#: 801-108283

RIA
Registered Investment Advisory firm - (8/17/2016 Approved)
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Contact information

Main Address
135 S Main St Suite 600, Greenville, SC 29601
Mailing Address
Phone number
(864) 385-7999
Established
Firm type
Fiscal year end
# of Employees
63

SEC notice filing (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TFA ADV 2A (5/23/2025)

Regulatory assets under management

Total Number of Accounts6,842
AUM (Assets Under Management)$ 1,921,956,974

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.

Company Information

THE FIDUCIARY ALLIANCE

CRD#: 284924Beaumont, TX 77706

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