Doni Lynn Mooberry
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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Doni Lynn Mooberry, Doni Mooberry Slough
Similar Advisors
WORLD INVESTMENT ADVISORS, LLC
NYLIFE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
OSAIC WEALTH, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WORLD INVESTMENT ADVISORS, LLC
NYLIFE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
OSAIC WEALTH, INC.
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
WORLD INVESTMENT ADVISORS, LLC
NYLIFE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
OSAIC WEALTH, INC.
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.
Similar Advisors
WORLD INVESTMENT ADVISORS, LLC
NYLIFE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
OSAIC WEALTH, INC.
Years of Experience
29 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
WORLD INVESTMENT ADVISORS, LLC
NYLIFE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
OSAIC WEALTH, INC.
Current Firm
ISC ADVISORS, INC.
Contact Information
Main Address
3500 Oak Lawn Ave Ste 400, Dallas, TX 75219Phone Number
(214) 520-1115# of Employees
30SEC notice filing (18 States and Territories)
Registered to provide investment advisory services in 18 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,928AUM (Assets Under Management)
$1,617,801,120Similar Advisors
WORLD INVESTMENT ADVISORS, LLC
NYLIFE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
OSAIC WEALTH, INC.
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.
Similar Advisors
WORLD INVESTMENT ADVISORS, LLC
NYLIFE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
OSAIC WEALTH, INC.
Primary Firm SEC Registration
ISC ADVISORS, INC.
State Registrations and Notice Filings
(3/27/2017)
(4/21/2022)
(3/17/2022)
(4/8/2014)
(3/10/2023)
(4/21/2022)
(9/26/2023)
(4/1/2010)
(4/1/2010)
(6/17/2013)
(9/9/1999)
(6/26/2009)
(8/15/2011)
(4/1/2010)
(4/1/2010)
(6/17/2013)
(4/1/2010)
(4/1/2010)
(4/8/2014)
(4/1/2010)
(4/5/2010)
(9/3/2014)
(8/22/2022)
(6/17/2013)
(6/6/2022)
(4/1/2010)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
WORLD INVESTMENT ADVISORS, LLC
NYLIFE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
OSAIC WEALTH, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Doni Lynn Mooberry's CRS (Customer Relationship Summary).
Similar Advisors
WORLD INVESTMENT ADVISORS, LLC
NYLIFE SECURITIES LLC
CHARLES SCHWAB & CO., INC.
OSAIC WEALTH, INC.