David Jon Morrow
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dave Morrow, David J Morrow, David Morrow
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
ALTUM WEALTH ALLIANCE | WIDOWS FINANCIAL HARBOR | TRIPLE 7 WEALTH | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | STEPHEN & ASSOCIATES | STELLA MARIS WEALTH | PROVEST WEALTH ADVISORS | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | MADREN FINANCIAL | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | HOPPES WEALTH | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
Contact Information
Main Address
135 S Main St Suite 600, Greenville, SC 29601Phone Number
(864) 385-7999# of Employees
76SEC notice filing (43 States and Territories)
Registered to provide investment advisory services in 43 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
9,155AUM (Assets Under Management)
$2,526,238,956Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ALTUM WEALTH ALLIANCE | WIDOWS FINANCIAL HARBOR | TRIPLE 7 WEALTH | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | STEPHEN & ASSOCIATES | STELLA MARIS WEALTH | PROVEST WEALTH ADVISORS | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | MADREN FINANCIAL | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | HOPPES WEALTH | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
State Registrations and Notice Filings
(3/25/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2010About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2010About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view David Jon Morrow's CRS (Customer Relationship Summary).
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