David C. Baron
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Charles Baron JR, who also goes by David C Baron, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 12 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 1997 - March 2, 2001
ANDREW GARRETT INC.
November 23, 1993 - July 1, 1997
INVESTORS ASSOCIATES, INC.
March 29, 1993 - December 8, 1993
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 16, 1991 - March 25, 1993
J. GREGORY & COMPANY, INC.
October 23, 1990 - July 30, 1991
BARRON CHASE SECURITIES, INC.
February 2, 1990 - October 17, 1990
R.B. MARICH, INC.
December 22, 1989 - March 3, 1990
JOSEPHTHAL & CO., INC.
April 13, 1989 - November 30, 1989
MARSHALL DAVIS, INC.
November 25, 1988 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
February 18, 1988 - December 5, 1988
GREENTREE SECURITIES CORP.
July 21, 1987 - December 23, 1987
SECURITY SERVICE CORPORATION
May 21, 1986 - March 19, 1987
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
Contact information
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDREW GARRETT HOLDING CORP | OWNER | |
| ESTATE OF JESSE UPCHURCH | SHARE HOLDER | |
| PLAINS CAPITAL BANK | EXECUTOR OF ESTATE | |
| CANNIZZARO-FONG, JANNELLE LYNN | CHIEF FINANCIAL OFFICER/FINOP | 4249300 |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | 1496683 |
| MITCHELL, JAMES ROBERT JR | CHIEF ADMINISTRATIVE OFFICER | 1374268 |
| SYCOFF, ANDREW GARRETT | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2119089 |
Regulatory assets under management
| Total Number of Accounts | 1,402 |
| AUM (Assets Under Management) | $ 663,049,158 |
Disclosures
| Regulatory Event | 15 |
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.
