DM
David K. Morton
HERITAGE FINANCIAL LLC
BETHESDA, MD
Some features on this profile are disabled
CRD#: 4912079
DM
Professional summary
David Kalani Morton, who also goes by Dave Morton, is a registered financial advisor currently at HERITAGE FINANCIAL LLC located in Bethesda, Maryland.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Morton
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.
DAVID MORTON investment-related private residence in Bethesda, MD insurance Licensed Insurance Agent 01/2007 8 hours per month 8 hours per month during trading fixed life and health insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view David Kalani Morton'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
October 20, 2016 - Present
HERITAGE FINANCIAL LLC
Office #2: 7001 Heritage Village Plaza Suite 190, Gainesville, VA 20155RIA
CRD#: 285149
BETHESDA, MD
Past
February 16, 2011 - October 17, 2016
ACORN FINANCIAL ADVISORY SERVICES, INC.
RIA
CRD#: 116763
GAINESVILLE, VA
Past
January 20, 2011 - December 31, 2017
THE STRATEGIC FINANCIAL ALLIANCE, INC.
BD
CRD#: 126514
GAINESVILLE, VA
Past
February 27, 2009 - January 20, 2011
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
GAINESVILLE, VA
Past
January 2, 2009 - January 20, 2011
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
GAINESVILLE, VA
Past
August 2, 2005 - December 31, 2008
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
VIENNA, VA
Past
March 7, 2005 - January 7, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
VIENNA, VA
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".
HF
HERITAGE FINANCIAL LLC
HERITAGE FINANCIAL LLC | HERITAGE FINANCIAL, LLC
CRD#: 285149 / SEC#: 801-114336
RIA
Registered Investment Advisory firm - (11/26/2018 Approved)District of Columbia
Registered Investment Advisory firm - (12/7/2018 Terminated)Florida
Registered Investment Advisory firm - (12/7/2018 Terminated)Louisiana
Registered Investment Advisory firm - (12/20/2018 Terminated)Maryland
Registered Investment Advisory firm - (12/27/2018 Terminated)North Carolina
Registered Investment Advisory firm - (12/10/2018 Terminated)Texas
Registered Investment Advisory firm - (12/7/2018 Terminated)Virginia
Registered Investment Advisory firm - (12/12/2018 Terminated)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
Maryland(6/6/2023)
IAR
Texas(1/3/2023)
IAR
Virginia(10/20/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
HF
HERITAGE FINANCIAL LLC
HERITAGE FINANCIAL LLC | HERITAGE FINANCIAL, LLC
CRD#: 285149 / SEC#: 801-114336
RIA
Registered Investment Advisory firm - (11/26/2018 Approved)District of Columbia
Registered Investment Advisory firm - (12/7/2018 Terminated)Florida
Registered Investment Advisory firm - (12/7/2018 Terminated)Louisiana
Registered Investment Advisory firm - (12/20/2018 Terminated)Maryland
Registered Investment Advisory firm - (12/27/2018 Terminated)North Carolina
Registered Investment Advisory firm - (12/10/2018 Terminated)Texas
Registered Investment Advisory firm - (12/7/2018 Terminated)Virginia
Registered Investment Advisory firm - (12/12/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7001 Heritage Village Plaza Suite 190, Gainesville, VA 20155
Mailing Address
Phone number
(703) 754-1233
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,380 |
| AUM (Assets Under Management) | $ 334,741,601 |
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.
