Unclaimed Profile

David Alan Moeller

SYMPHONY FINANCIAL, LTD. CO.·HOUSTON, Texas

SIE, Series 7, Series 65, Series 66Clean record21 years registeredSYMPHONY FINANCIAL, LTD. CO.

4295 SAN FELIPE, HOUSTON, TX 77027CRD# 4817548Firm CRD# 171816

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Alan Moeller · HOUSTON, TX

Registration

CRD #4817548 · SYMPHONY FINANCIAL, LTD. CO. · 21 years registered

Brand Profile

Not yet started

Career History

SYMPHONY FINANCIAL, LTD. CO.

Apr 2025 – present

LPL FINANCIAL LLC

Mar 2009 – Oct 2020

HOUSTON, TX

SAGEPOINT FINANCIAL, INC.

Oct 2008 – Mar 2009

HOUSTON, TX

AMERICAN GENERAL SECURITIES INCORPORATED

Nov 2006 – Oct 2008

HOUSTON, TX

AMERIPRISE FINANCIAL SERVICES, INC.

Oct 2004 – May 2006

THE WOODLANDS, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 65

Series 66

Registration record

First registered · October 14, 2004

Years registered · 21

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SYMPHONY FINANCIAL, LTD. CO.

CRD 171816 · SEC 801-79989

AUM

$861M

Regulatory assets under management

Employees

2,600 client accounts

Services offered by SYMPHONY FINANCIAL, LTD. CO.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SYMPHONY FINANCIAL, LTD. CO. →

Introduction

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Frequently Asked Questions

What services does David Alan Moeller offer?

David Alan Moeller specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in HOUSTON, Texas for a consultation.

What are David Alan Moeller's credentials?

David Alan Moeller is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Alan Moeller located?

David Alan Moeller is based in HOUSTON, Texas, working with SYMPHONY FINANCIAL, LTD. CO.. Their office serves clients in the HOUSTON metropolitan area and surrounding communities.

How does David Alan Moeller charge for services?

David Alan Moeller's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SYMPHONY FINANCIAL, LTD. CO.?

SYMPHONY FINANCIAL, LTD. CO. has approximately 34 employees and manages $861M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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