David Code Moriniere
Professional Summary
DAVID CODE MORINIERE is a registered financial advisor currently at HIGHTOWER SECURITIES, LLC located in Houston, Texas. DAVID is registered as a RR (Registered Representative) and started their career in finance in 2018. DAVID has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Biography
David Moriniere is a Director at Hightower Texas and a member of the family office group. David focuses on relationship management for high- and ultra-high-net-worth families. In 2017, David joined Salient, which was acquired by Hightower in 2018. Prior to Salient, David worked at Alloy Merchant Finance, a cross-border finance company focused on small- and medium-sized companies in Mexico and the United States. Prior to the launch of Alloy, David held various client management positions...
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
8 years in the financial services industry
Current & Past Employments
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Current Firm
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
Contact Information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414Phone Number
(312) 962-3800Established
Illinois since 06/28/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | — |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SANGEKAR, JASON A | CHIEF EXECUTIVE OFFICER | 5159857 |
Disclosures
Regulatory Event
5Arbitration
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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.
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State Registrations and Notice Filings
(1/3/2022)
(1/7/2022)
(1/4/2022)
(1/3/2022)
(1/3/2022)
(1/3/2022)
(1/3/2022)
(1/4/2022)
(1/4/2022)
(1/3/2022)
(1/7/2022)
(1/5/2022)
(1/14/2022)
(1/4/2022)
(1/3/2022)
(1/8/2022)
(1/3/2022)
(1/11/2022)
(1/4/2022)
(7/9/2019)
(1/3/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view DAVID CODE MORINIERE's CRS (Customer Relationship Summary).
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