• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
DAVID ROLAND MONGEAU
CRD#: 4441763
IA
Investment Adviser
B
Previous Broker
CHESS FINANCIAL PLANNING LLCCRD#: 292777 SACRAMENTO, CA
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2004 - 2005 (<1 year)2 FIRMS2017 - 2018 (<1 year)2 FIRMS2021 - 2022 (<1 year)IACHESS FINANCIAL PLANNING LLC (CRD# 292777)2018 - Present (6 years)BQUICK & REILLY, INC. (CRD# 11217)2003 - 2004 (1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2001 - 2003 (1 year)IACHESS FINANCIAL PLANNING LLC (CRD# 285228)2017 - 2017 (<1 year)IAQUICK & REILLY, INC. (CRD# 11217)2004 - 2004 (<1 year)
License(s)

State Registrations

IA
California 3/20/2018

Current Registration(s)
IA
CHESS FINANCIAL PLANNING LLC (CRD#:292777)
SACRAMENTO, CA
Registered with this firm since 3/20/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
B
12/08/2021 - 03/28/2022 LPL FINANCIAL LLC (CRD#:6413) SANTA ROSA, CA
IA
12/08/2021 - 02/24/2022 THE WEALTH CONSULTING GROUP (CRD#:173194) Santa Rosa, CA
IA
05/22/2017 - 03/16/2018 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) Sacramento, CA
B
06/02/2017 - 03/16/2018 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) Sacramento, CA
IA
01/27/2017 - 06/22/2017 CHESS FINANCIAL PLANNING LLC (CRD#:285228) SANTA ROSA, CA
IA
10/20/2004 - 02/14/2005 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) OLDTOWN, ME
B
10/20/2004 - 02/14/2005 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
IA
03/15/2004 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) BANGOR, ME
B
10/20/2003 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
11/09/2001 - 07/03/2003 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.