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DB

David G. Bayer

Some features on this profile are disabled
CRD#: 1763853
DB

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 Gerald Bayer, who also goes by David G Bayer, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1987. David had worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 86, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David G Bayer

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 10, 2014 - September 30, 2015

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 42941
GOLDEN VALLEY, MN
Past

December 7, 2011 - February 10, 2014

KINGFISHER SECURITIES, LLC

BD
CRD#: 103771
MINNEAPOLIS, MN
Past

June 26, 2008 - December 16, 2009

CANTOR FITZGERALD & CO.

BD
CRD#: 134
MINNEAPOLIS, MN
Past

June 6, 2007 - March 13, 2008

NORTHLAND SECURITIES, INC.

BD
CRD#: 40258
MINNEAPOLIS, MN
Past

June 24, 1992 - August 5, 1998

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 24, 1992 - August 5, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

December 22, 1987 - June 30, 1992

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA

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".
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC

CRD#: 42941 / SEC#: 801-80809, 8-50082

RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)
Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)
Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)
Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)
Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)
Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)
Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/12/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/30/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/2/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 86
Date: 7/3/2007
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 7/3/2007
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 6/5/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/17/2007
General Securities Principal Examination

Current Firm

TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC

CRD#: 42941 / SEC#: 801-80809, 8-50082

RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)
Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)
Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)
Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)
Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)
Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)
Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
PREMIUM
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Contact information

Main Address
701 Xenia Ave. South, Suite 100 Suite 100, Golden Valley, MN 55416-1089
Mailing Address
701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089
Phone number
(763) 923-2200
Established
Minnesota since 03/13/1997
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
57

SEC notice filing (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

202409 THE OAK RIDGE FINANCIAL SERVICES BROCHURE (12/23/2025)

Direct owners and executive officers

NamePositionCRD#
OAK RIDGE ACQUISITION CORPORATIONCORPORATE OWNER
COWAN, BRANDON JAMESEVP, CCO5404862
EKMAN, JOHN RICHARDEXECUTIVE VICE PRESIDENT1632217
KING, RUSSELL STUARTCHAIRMAN, CEO & DIRECTOR1703706
RIP, OLGAFINOP5440553
RUMBLE, JULIE ANN MACYVP, OPERATIONS MANAGER2643309

Regulatory assets under management

Total Number of Accounts1,500
AUM (Assets Under Management)$ 668,581,099

Disclosures

Regulatory Event8
Arbitration2

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.

Company Information

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

CRD#: 42941

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