DM
David A. Moeller
SYMPHONY FINANCIAL, LTD. CO.
Houston, TX 77027
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CRD#: 4817548
DM
Professional summary
David Alan Moeller JR, CIMA® is a registered financial advisor currently at SYMPHONY FINANCIAL, LTD. CO. located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. David has worked at 6 firms and has passed the Series 65, Series 66, 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) 02/12/2015: SYMPHONY FINANCIAL, LTD. CO - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - 650 N. SAM HOUSTON PKWY E, SUITE 525, HOUSTON, TX 77060 - START 09/30/14 - 20 HR/MO ALL DURING SECS TRDG HRS
(2) 02/20/2015: SYMPHONY FINANCIAL, LTD. CO. - INV REL - 650 N. SAM HOUSTON PWKY E, SUITE 525, HOUSTON, TX 77060 - REGISTERED INVESTMENT ADVISOR HYBRID: (HYBRID) SYMPHONY FINANCIAL, LTD. CO. - START 09/30/2014 - 20 HR/MO ALL DURING SECS TRDG HRS - ADMINISTRATIVE ROLE
(3) 12/04/2015 * SYMPHONY FINANCIAL, LTD. CO. * Registered Investment Advisor DBA * (Hybrid) The Greensage Group * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 10/27/2015 * 20 HRS/MO DURING SECS TRDG HRS.
(4) 08/23/2016: SYMPHONY FINANCIAL, LTD. CO. - Registered Investment Advisor DBA - DBA: (Hybrid) Aviation Retirement Strategies - INV REL - 17725 John F Kennedy Blvd, Suite 201 Houston, TX 77032- Start 07/20/2016 - 20 Hr/Mo; 20 Hours During Securities Trading - Administrative Role
CRS (Client Relationship Summary) - RIA
Click below to view David Alan Moeller JR'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®
Experience
Current
April 29, 2025 - Present
SYMPHONY FINANCIAL, LTD. CO.
Office #1: 4295 San Felipe Suite 300, Houston, TX 77027RIA
CRD#: 171816
Houston, TX
Current
March 2, 2009 - Present
LPL FINANCIAL LLC
Office #1: 4295 San Felipe Street Ste 300, Houston, TX 77027RIA
BD
CRD#: 6413
Houston, TX
Past
March 2, 2009 - October 8, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
October 31, 2008 - March 3, 2009
OSAIC SERVICES, INC.
RIA
CRD#: 133763
HOUSTON, TX
Past
October 31, 2008 - March 3, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
HOUSTON, TX
Past
November 29, 2006 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
HOUSTON, TX
Past
October 12, 2006 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
HOUSTON, TX
Past
October 14, 2004 - May 3, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
THE WOODLANDS, TX
Past
October 14, 2004 - May 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 14, 2004 - May 3, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
THE WOODLANDS, TX
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".
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 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
Texas(3/2/2009)
IAR
Texas(4/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4295 San Felipe Suite 300, Houston, TX 77027
Mailing Address
Phone number
(281) 272-6800
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,324 |
| AUM (Assets Under Management) | $ 1,093,185,695 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
