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David Roland Mongeau

Chess Financial Planning LLC

Springvale, ME

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Current Employers
Chess Financial Planning Llc

Springvale, ME • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-03-20
  • CA RA
    APPROVED
    Since 2018-03-20

Branch Locations

Springvale, ME • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Chess Financial Planning Santa Rosa CA 08/2016 01/2018
Independnet Financial Group, Llc Santa Rosa CA 05/2017 03/2018
Chess Financial Planning, Llc Sacramento CA 01/2018 Present
Wcg Wealth Advisors, Llc Santa Rosa CA 12/2021 02/2022
Lpl Financial, Llc Santa Rosa CA 12/2021 02/2022
  • 08/2016 → 01/2018
    Chess Financial Planning
    Santa Rosa, CA
  • 05/2017 → 03/2018
    Independnet Financial Group, Llc
    Santa Rosa, CA
  • 01/2018 → Present
    Chess Financial Planning, Llc
    Sacramento, CA
  • 12/2021 → 02/2022
    Wcg Wealth Advisors, Llc
    Santa Rosa, CA
  • 12/2021 → 02/2022
    Lpl Financial, Llc
    Santa Rosa, CA
Previous Registrations
  • 2021-12-08 → 2022-02-24
    The Wealth Consulting Group
    Las Vegas, NV
    Santa Rosa, CA
  • 2017-05-22 → 2018-03-16
    Independent Financial Group, Llc
    Santa Rosa, CA
    San Diego, CA
    Sacramento, CA
  • 2017-01-27 → 2017-06-22
    Chess Financial Planning Llc
    Santa Rosa, CA
  • 2004-10-20 → 2005-02-14
    Banc Of America Investment Services, Inc.
    Oldtown, ME
  • 2004-03-15 → 2004-10-20
    Quick & Reilly, Inc.
    Bangor, ME
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2021-12-07
S65 Uniform Investment Adviser Law Examination 2016-06-18
  • S63 Uniform Securities Agent State Law Examination
    2021-12-07
  • S65 Uniform Investment Adviser Law Examination
    2016-06-18

View on SEC IAPD

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