Darel A. Baer

BAER INVESTMENT ADVISORY LLC

YUBA CITY, CA

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CRD#: 1402746

Professional summary

Darel Andrew Baer is a registered financial advisor currently at BAER INVESTMENT ADVISORY LLC located in Yuba City, California.

Darel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Darel has worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darel Andrew Baer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 14, 2014 - Present

BAER INVESTMENT ADVISORY LLC

RIA

CRD#: 152063

YUBA CITY, CA

Past

July 15, 2002 - September 26, 2006

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

DALLAS, TX

Past

July 5, 1996 - January 4, 2002

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

September 25, 1985 - June 18, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BAER INVESTMENT ADVISORY LLC

BAER INVESTMENT ADVISORY LLC | DAREL BAER INVESTMENT ADVISORY LLC | DAREL BAER INVESTMENT ADVISORY

CRD#: 152063 / SEC#: 801-132149

RIA

Registered Investment Advisory firm - (3/7/2025 Approved)

California

Registered Investment Advisory firm - (4/12/2025 Terminated)

New York

Registered Investment Advisory firm - (3/13/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/14/2014)

IAR

New York
(7/10/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/30/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/8/2002

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 4/25/1996

Registered Options Principal Examination

Current Firm

BAER INVESTMENT ADVISORY LLC

BAER INVESTMENT ADVISORY LLC | DAREL BAER INVESTMENT ADVISORY LLC | DAREL BAER INVESTMENT ADVISORY

CRD#: 152063 / SEC#: 801-132149

RIA

Registered Investment Advisory firm - (3/7/2025 Approved)

California

Registered Investment Advisory firm - (4/12/2025 Terminated)

New York

Registered Investment Advisory firm - (3/13/2025 Terminated)

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Contact information

Main Address

Tiburon, CA

Mailing Address

Phone number

(415) 717-1101

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - BAER INVESTMENT ADVISORY LLC (10/6/2025)

ADV PART 2B - DAREL BAER (10/6/2025)

ADV PART 2B - ROBERT BAER (3/11/2025)

ADV PART 2B - GREGORY SMITH (3/11/2025)

Regulatory assets under management

Total Number of Accounts	89
AUM (Assets Under Management)	$ 126,720,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Darel A. Baer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darel Andrew Baer's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

NATWEST MARKETS SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

BAER INVESTMENT ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/30/1987

Series 7

Date: 9/21/1985

Series 24

Date: 8/8/2002

Series 4

Date: 4/25/1996

Current Firm

BAER INVESTMENT ADVISORY LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BAER INVESTMENT ADVISORY LLC

TRUST BUT VERIFY

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