David J. Morgan
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 Jerome Morgan was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2009 - January 14, 2025
EASTOVER CAPITAL MANAGEMENT
July 6, 2009 - August 27, 2015
ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC
March 20, 2009 - July 7, 2009
OPPENHEIMER & CO. INC.
March 20, 2009 - July 7, 2009
OPPENHEIMER & CO. INC.
July 14, 2006 - March 16, 2009
STANFORD GROUP COMPANY
July 14, 2006 - March 16, 2009
STANFORD GROUP COMPANY
January 20, 2003 - July 18, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 14, 2001 - July 18, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
EASTOVER CAPITAL MANAGEMENT
CRD#: 150821 / SEC#: 801-70406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EASTOVER CAPITAL MANAGEMENT
CRD#: 150821 / SEC#: 801-70406
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 597 |
| AUM (Assets Under Management) | $ 370,224,842 |
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.
