DM
David R. Mongeau
CHESS FINANCIAL PLANNING LLC
SACRAMENTO, CA
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CRD#: 4441763
DM
Professional summary
David Roland Mongeau is a registered financial advisor currently at CHESS FINANCIAL PLANNING LLC located in Sacramento, California.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. David has worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. 12/03/2021 - ENCORE WEALTH MANAGEMENT/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ SANTA ROSA, CA 2. 12/03/2021 - THE WEALTH CONSULTING GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ SANTA ROSA, CA 3. 12/03/2021 - ENCORE WEALTH MANAGEMENT GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ SANTA ROSA, CA 4. 12/03/2021 - EWM/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ SANTA ROSA, CA 5. 12/03/2021 - EWMG/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ SANTA ROSA, CA 6. 12/03/2021 - EW/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ SANTA ROSA, CA 7. 12/03/2021 - ENCORE WEALTH MANAGEMENT GROUP, INC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ SANTA ROSA, CA 8. 12/03/2021 - ENCORE/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ SANTA ROSA, CA 9. 12/03/2021 - ENCORE WEALTH/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ SANTA ROSA, CA 10. 12/03/2021 - CHESS FINANCIAL PLANNING, LLC/ TAX PREP/ACCOUNTING/CPA/ INVESTMENT RELATED/ 0%/ SANTA ROSA, CA 11. 12/07/2021 - WCG Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Admin - Start Date: 11/29/2021 - 160 Hour Per Month/4 Hours During Securities Trading - Time Spent 100% - I provide administrative support to WCG Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 12/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate and independent of LPL Financial. 12. 12/07/2021 - WCG Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin - Start Date: 11/29/2021 - 160 Hour Per Month/4 Hours During Securities Trading - Time Spent 100% - I provide administrative support to WCG Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 12/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view David Roland Mongeau'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
March 20, 2018 - Present
CHESS FINANCIAL PLANNING LLC
RIA
CRD#: 292777
SACRAMENTO, CA
Past
December 8, 2021 - February 24, 2022
THE WEALTH CONSULTING GROUP
RIA
CRD#: 173194
Santa Rosa, CA
Past
December 8, 2021 - March 28, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
SANTA ROSA, CA
Past
June 2, 2017 - March 16, 2018
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
Sacramento, CA
Past
May 22, 2017 - March 16, 2018
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
Sacramento, CA
Past
January 27, 2017 - June 22, 2017
CHESS FINANCIAL PLANNING LLC
RIA
CRD#: 285228
SANTA ROSA, CA
Past
October 20, 2004 - February 14, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
OLDTOWN, ME
Past
October 20, 2004 - February 14, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
March 15, 2004 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
BANGOR, ME
Past
October 20, 2003 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
November 9, 2001 - July 3, 2003
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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.Highlighted states indicate IAR registrations
IAR
California(3/20/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/7/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
CF
CHESS FINANCIAL PLANNING LLC
CHESS FINANCIAL PLANNING LLC
CRD#: 292777 / SEC#:
California
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Contact information
Main Address
Sacramento, CA
Mailing Address
P.o Box 160513, Sacramento, CA 95816
Phone number
(207) 432-4552
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 7,100,000 |
Red Flags
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