David J. Morgenroth

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CRD#: 3190140

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 J Morgenroth, CFP® was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2011. David had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

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: 2017

Experience

Past

March 20, 2018 - January 12, 2022

INVESTMENT MANAGEMENT GROUP

RIA

CRD#: 122166

Missoula, MT

Past

January 1, 2013 - November 1, 2017

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

MISSOULA, MT

Past

December 6, 2012 - November 3, 2017

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

MISSOULA, MT

Past

July 7, 2011 - December 5, 2012

DELANO INVESTMENT ADVISORY, LLC

RIA

CRD#: 114105

MISSOULA, MT

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".

INVESTMENT MANAGEMENT GROUP

ANNACO INVESTMENT MANAGEMENT | STOCKMAN WEALTH MANAGEMENT, INC. | STOCKMAN WEALTH MANAGEMENT | STOCKMAN ASSET MANAGEMENT, INC. | INVESTMENT MANAGEMENT GROUP

CRD#: 122166 / SEC#: 801-61567

RIA

Registered Investment Advisory firm - (11/8/2002 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: 3/3/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/27/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/27/2012

General Securities Representative Examination

Current Firm

INVESTMENT MANAGEMENT GROUP

ANNACO INVESTMENT MANAGEMENT | STOCKMAN WEALTH MANAGEMENT, INC. | STOCKMAN WEALTH MANAGEMENT | STOCKMAN ASSET MANAGEMENT, INC. | INVESTMENT MANAGEMENT GROUP

CRD#: 122166 / SEC#: 801-61567

RIA

Registered Investment Advisory firm - (11/8/2002 Approved)

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Contact information

Main Address

2700 King Ave. W, Billings, MT 59102

Mailing Address

P.o. Box 80850, Billings, MT 59108

Phone number

(406) 655-3960

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/26/2025)

Regulatory assets under management

Total Number of Accounts	2,813
AUM (Assets Under Management)	$ 5,065,457,259

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.

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Firm Stability Insights

David J. Morgenroth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

DELANO INVESTMENT ADVISORY, LLC

Primary Firm SEC Registration

INVESTMENT MANAGEMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 3/3/2011

Series 63

Date: 1/27/2011

SIE

Date: 11/1/2017

Series 7

Date: 12/27/2012

Current Firm

INVESTMENT MANAGEMENT GROUP

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVESTMENT MANAGEMENT GROUP

TRUST BUT VERIFY

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