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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

DAVID ALAN MOELLER

Advisor at SYMPHONY FINANCIAL, LTD. CO.

HOUSTON, TX

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Search this name across graphsid dfx:ria:2ff345d0-2af4-2731-1a68-5b1e37e9a416

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 14, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SYMPHONY FINANCIAL, LTD. CO.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 14, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S66
First exam: Sep 14, 2004
First registration: Oct 14, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4817548

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SYMPHONY FINANCIAL, LTD. CO.	Independent wealth	Apr 29, 2025	n/a	yes	HOUSTON, TX	Current employment
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Oct 31, 2008	Mar 3, 2009	no	HOUSTON, TX	Previous registration
AMERICAN GENERAL SECURITIES INCORPORATED	n/a	Nov 29, 2006	Oct 31, 2008	no	HOUSTON, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 14, 2004	May 3, 2006	no	THE WOODLANDS, TX\|THE WOODLANDS, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SAGEPOINT FINANCIAL, INC.	SYMPHONY FINANCIAL, LTD. CO.	Mar 3, 2009	Apr 29, 2025	5,901	Firm change after gap	Other
AMERICAN GENERAL SECURITIES INCORPORATED	SAGEPOINT FINANCIAL, INC.	Oct 31, 2008	Oct 31, 2008	0	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	AMERICAN GENERAL SECURITIES INCORPORATED	May 3, 2006	Nov 29, 2006	210	Firm change	Other

Relationships

Registered with (4)

→ SYMPHONY FINANCIAL, LTD. CO.Registered adviserregistration: current employment
Apr 29, 2025 to presentfactForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Oct 31, 2008 to Mar 3, 2009factForm ADV
→ AMERICAN GENERAL SECURITIES INCORPORATEDRegistered adviserregistration: previous registration
Nov 29, 2006 to Oct 31, 2008factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 14, 2004 to May 3, 2006factForm ADV

Dated events

No dated event names this entity yet.