David Michael Sabonghy

Employer firm

Waterloo Capital CRD 133705

$2.26B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Waterloo Capital

2801 Via Fortuna Suite 250, Austin, TX 78746 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-11-01

TX RA
APPROVED

Since 2022-11-01

Branch Locations

Sugar Land, TX • United States

2801 Via Fortuna Suite 250, Austin, TX 78746 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney	Houston	TX	02/2011	10/2017
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	10/2017
Avidian Wealth Solutions F/K/A Sta Wealth Management, Llc	Houston	TX	10/2017	10/2022
Waterloo Capital	Austin	TX	11/2022	Present

02/2011 → 10/2017

Morgan Stanley Smith Barney

Houston, TX
01/2015 → 10/2017

Morgan Stanley Private Bank, National Association

New York, NY
10/2017 → 10/2022

Avidian Wealth Solutions F/K/A Sta Wealth Management, Llc

Houston, TX
11/2022 → Present

Waterloo Capital

Austin, TX

Previous Registrations

2017-10-14 → 2022-11-16

Avidian Wealth Solutions

Houston, TX
2011-02-24 → 2017-10-11

Morgan Stanley

Houston, TX
2002-09-03 → 2011-03-03

Ameriprise Financial Services, Llc

Houston, TX

Houston, TX

Sugar Land, TX

Houston, TX

Other Businesses

1-SABONGHY INTERESTS LLC; HOUSTON, TX; OIL AND GAS; PRESIDENT; BEGAN 8/2007; 1 HOUR PER WEEK OUTSIDE NORMAL OFFICE HOURS; NO TIME DURING TRADING HOURS**

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-07-01

S66 Uniform Combined State Law Examination

2002-07-01

Other Names

David Sabonghy

View on SEC IAPD