DM
Doni L. Mooberry
MOOBERRY FINANCIAL MANAGEMENT
LAWRENCE , KS 66044-2855
Some features on this profile are disabled
CRD#: 2833542
DM
Professional summary
Doni Lynn Mooberry, who also goes by Doni Mooberry Slough, is a registered financial advisor currently at MOOBERRY FINANCIAL MANAGEMENT, LLC located in Lawrence , Kansas and ISC ADVISORS, INC. located in Lawrence, Kansas.
Doni is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Doni has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doni Mooberry Slough
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) Mooberry Financial Management, LLC, Doni Mooberry, Owner, provides investment advice as a registered investment advisor. 2) Doni Mooberry Accounting, owner. Operates a tax practice and is not investment related. 901 Kentucky, Suite 202, Lawrence, KS 66044 01/2001 to present. percentage of time spent: 5%, number of hours during trading time: 2 hrs/week. 3) Doni Mooberry, attorney. Not investment related. 901 Kentucky, suite 202, Lawrence, KS 66044, practice of law, from 08/1996 to present. percentage of time spent 15%, number of hours during trading time: 6 hrs/week. 4) Doni Mooberry, owns rental properties that are not investment related. 901 Kentucky, suite 202 Lawrence KS 66044, percentage of time spent: 1-2 hrs/month, no hours during trading time. 5) Lawrence Rotary Club, PO Box 442162, Lawrence, KS 66044. Not investment related. It is a nonprofit Rotary Club which is a humanitarian service organization. Doni's position is Treasurer and her firm is also paid for accounting services. Start date was 4/2002. Approximate number of hours spent per week is two. 6) Maine Street, LLC, started 1/2015, 901 Kentucky, Ste 202, Lawrence KS 66044, Real Estate Partnership, monthly accounting duties, not investment related, properties being purchased through the LLC are residential rental properties. minimal amount of time during trading hours. 7) Penn Holdings, LLC, partner/member, 700 Massachusetts, Ste. 104 Lawrence, KS 66044, entity operates a brewery/restaurant. Involved as an investor with a 1/16 ownership. About 1% of time devoted to this other business. 8) Community Children's Center. Not investment related. It is located at 901 Kentucky, Suite 202, Lawrence, KS 66044. It is a nonprofit advocating for early childhood. Doni's position is Treasurer and her firm is also paid for accounting services. Start date was 4/1/2018. Approximate number of hours spent per week is one.
CRS (Client Relationship Summary) - RIA
Click below to view Doni Lynn Mooberry'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®
NoneExperience
Current
September 9, 1999 - Present
MOOBERRY FINANCIAL MANAGEMENT, LLC
Office #1: 901 Kentucky St, Suite 202, Lawrence , KS 66044-2855RIA
CRD#: 114512
LAWRENCE , KS
Current
May 24, 2013 - Present
ISC ADVISORS, INC.
Office #1: 901 Kentucky Ste 202, Lawrence, KS 66044RIA
CRD#: 166586
LAWRENCE, KS
Current
June 26, 2009 - Present
INSTITUTIONAL SECURITIES CORPORATION
Office #1: 901 Kentucky Ste. 202, Lawrence, KS 66044BD
CRD#: 20291
Lawrence, KS
Past
July 23, 2012 - December 31, 2013
INSTITUTIONAL SECURITIES CORPORATION
RIA
CRD#: 20291
DALLAS, TX
Past
March 11, 2002 - June 11, 2009
DORTCH SECURITIES & INVESTMENTS, INC.
BD
CRD#: 42207
LAWRENCE, KS
Past
April 16, 1998 - April 1, 2002
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
February 25, 1997 - March 9, 1998
ENERIC FINANCIAL SERVICES, INC.
BD
CRD#: 11761
FAIRFIELD, IA
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".
IA
ISC ADVISORS, INC.
ISC ADVISORS, INC.
CRD#: 166586 / SEC#: 801-77727
RIA
Registered Investment Advisory firm - (3/20/2013 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/27/2017)
RR
Arkansas(4/21/2022)
RR
California(3/17/2022)
RR
Colorado(4/8/2014)
IAR
Colorado(9/3/2020)
RR
Connecticut(3/10/2023)
RR
District of Columbia(4/21/2022)
RR
Florida(9/26/2023)
RR
Illinois(4/1/2010)
RR
Indiana(4/1/2010)
RR
Iowa(6/17/2013)
IAR
Kansas(9/9/1999)
RR
Kansas(6/26/2009)
RR
Louisiana(8/15/2011)
RR
Maryland(4/1/2010)
RR
Massachusetts(4/1/2010)
RR
Michigan(6/17/2013)
RR
Minnesota(4/1/2010)
RR
Missouri(4/1/2010)
IAR
Missouri(10/12/2016)
RR
Nevada(4/8/2014)
RR
New York(4/1/2010)
RR
Ohio(4/5/2010)
RR
Oregon(9/3/2014)
RR
South Carolina(8/22/2022)
RR
Texas(6/17/2013)
RR
Virginia(6/6/2022)
RR
Wisconsin(4/1/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IA
ISC ADVISORS, INC.
ISC ADVISORS, INC.
CRD#: 166586 / SEC#: 801-77727
RIA
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Contact information
Main Address
3500 Oak Lawn Ave Ste 400, Dallas, TX 75219
Mailing Address
Phone number
(214) 520-1115
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,989 |
| AUM (Assets Under Management) | $ 1,539,119,817 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
