DAVID C. MORINIERE
HIGHTOWER SECURITIES | Managing Director, Client Advisor
Houston, TX 77027
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CRD#: 7021510
Professional summary
DAVID CODE MORINIERE is a registered financial professional 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.
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 at two banks in Houston, Texas; first at Amegy Bank, then BBVA Compass. Before joining Amegy, he worked in Lima, Peru for The Maple Gas Corporation.
David’s current and previous civic activities include roles with the Menil Collection, Citizen Schools Texas, Texas Exes Houston Chapter and Episcopal High School of Houston.
David earned a Bachelor of Arts degree in Government from the University of Texas at Austin.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view DAVID CODE MORINIERE'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
November 6, 2018 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 4400 Post Oak Parkway Suite 2600, Houston, TX 77027BD
CRD#: 116681
Houston, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(1/3/2022)
RR
Arizona(1/7/2022)
RR
Arkansas(1/4/2022)
RR
California(1/3/2022)
RR
Colorado(1/3/2022)
RR
Connecticut(1/3/2022)
RR
Florida(1/3/2022)
RR
Georgia(1/4/2022)
RR
Illinois(1/4/2022)
RR
Kansas(1/3/2022)
RR
Louisiana(1/7/2022)
RR
Michigan(1/5/2022)
RR
Nevada(1/14/2022)
RR
New Hampshire(1/4/2022)
RR
New Mexico(1/3/2022)
RR
New York(1/8/2022)
RR
North Carolina(1/3/2022)
RR
Oklahoma(1/11/2022)
RR
Pennsylvania(1/4/2022)
RR
Texas(7/9/2019)
RR
Virginia(1/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 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 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Company Information
HIGHTOWER SECURITIES, LLC
Managing Director, Client AdvisorCRD#: 116681Houston, TX 77027TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
