AM
Alexis L. Morey
DAVID VAUGHAN INVESTMENTS
Peoria, IL 61614-3559
Some features on this profile are disabled
CRD#: 7433297
AM
Professional summary
Alexis Laure Morey, who also goes by Alexis Laure Zowin, is a registered financial advisor currently at DAVID VAUGHAN INVESTMENTS, LLC located in Peoria, Illinois.
Alexis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Alexis has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alexis Laure Zowin
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) Migration Risk Management,Is Not Investment Related,"7309 N Knoxville Ave, Suite 201, Peoria, IL, 61614, United States",Insurance - commercial and personal,Office Manager/agent,2020-06-01,25 hours per month,0 hours per month during trading hours,Salary Compensation,Manage accounts and assist the head agent with various servicing for client accounts. Hold a small number of personal lines clients but mainly work and service commercial accounts for the company. 2) Solid Rock Retirement Strategies,Is Investment Related,"6035 N Knoxville Ave, Suite 102B, PEORIA, IL, 61614, United States",Wealth Management Group,Assistant,2021-04-13,130 hours per month,0 hours per month during trading hours,Salary Compensation,"Assistant to Jim Kreid, originated as part time and then came on to start full time January 1st of 2022. Assist with back office work when needed to help Jim service client accounts"
CRS (Client Relationship Summary) - RIA
Click below to view Alexis Laure Morey'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
December 7, 2023 - Present
DAVID VAUGHAN INVESTMENTS, LLC
Office #1: 5823 N Forest Park Drive, Peoria, IL 61614-3559RIA
CRD#: 105990
Peoria, IL
Past
May 27, 2022 - August 14, 2023
SILVER OAK SECURITIES, INCORPORATED
RIA
CRD#: 46947
Peoria, IL
Past
December 3, 2021 - August 14, 2023
SILVER OAK SECURITIES, INCORPORATED
BD
CRD#: 46947
Peoria, IL
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".
DV
DAVID VAUGHAN INVESTMENTS, LLC
DAVID VAUGHAN INVESTMENTS INC | DAVID VAUGHAN INVESTMENTS, LLC
CRD#: 105990 / SEC#: 801-12642
RIA
Registered Investment Advisory firm - (3/17/1977 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.Highlighted states indicate IAR registrations
IAR
Illinois(12/7/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/3/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
DV
DAVID VAUGHAN INVESTMENTS, LLC
DAVID VAUGHAN INVESTMENTS INC | DAVID VAUGHAN INVESTMENTS, LLC
CRD#: 105990 / SEC#: 801-12642
RIA
Registered Investment Advisory firm - (3/17/1977 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5823 N Forest Park Drive, Peoria, IL 61614-3559
Mailing Address
Phone number
(309) 685-0033
Established
Firm type
Fiscal year end
# of Employees
46
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,020 |
| AUM (Assets Under Management) | $ 4,930,082,357 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/22/2025 | ||
| 11/20/2023 | ||
| 01/03/2023 |
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.
Company Information
DAVID VAUGHAN INVESTMENTS, LLC
CRD#: 105990Peoria, IL 61614-3559TRUST BUT VERIFY
Monitor Alexis Morey
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
