Darrell A. Fryer

HAMILTON-BATES INVESTMENT RESEARCH

SAN JUAN CAPISTRANO, CA

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CRD#: 1769154

Professional summary

Darrell Arthur Fryer, who also goes by Darrell Fryer, is a registered financial advisor currently at HAMILTON-BATES INVESTMENT RESEARCH, INC. located in San Juan Capistrano, California.

Darrell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Darrell has worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Darrell Fryer

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.

(1) DF Financial Services DBA CAPISTRANO PREMIER INSURANCE - 2822 Via Leona, San Juan Christiana, CA 92675 - 2006 - NIR - Independent Agency for health, life, LTC, Auto, & home owners - Do sales & Services for clients in health, life, LTC, disability, & Property/Casualty Lines - Corp - 160 hrs/mo spent on this activity. (2) Encore Risk Management & Insurance Services, LLC - Not investment related - 28822 Via Leona, San Juan Capistrano, CA 92675 - Nature of Business: Genomics - Member since 5/28/2014 - 40 hours per month; 10 hours per month during securities trading hours - Duties: Genomic sales to medical industry.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darrell Arthur Fryer's 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 9, 2018 - Present

HAMILTON-BATES INVESTMENT RESEARCH, INC.

RIA

CRD#: 114127

SAN JUAN CAPISTRANO, CA

Past

May 18, 2017 - March 13, 2018

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

MISSION VIEJO, CA

Past

November 27, 2012 - October 7, 2013

ALTERNITY INVESTMENT ADVISORS

RIA

CRD#: 159463

NEWPORT BEACH, CA

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
(4/9/2018)

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: 7/19/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/18/2017

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 11/3/1987

National Commodity Futures Examination

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

CRD#: 114127 / SEC#: 801-60463

RIA

Registered Investment Advisory firm - (8/14/2012 Terminated)

California

Registered Investment Advisory firm - (7/6/2012 Approved)

Illinois

Registered Investment Advisory firm - (6/7/2012 Approved)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Ohio

Registered Investment Advisory firm - (9/10/2001 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/29/2012 Approved)

Texas

Registered Investment Advisory firm - (8/8/2012 Approved)

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).

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Contact information

Main Address

Mertztown, PA

Mailing Address

Po Box 98, Mertztown, PA 19539

Phone number

(610) 421-4407

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 55,537,100

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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Darrell A. Fryer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darrell Arthur Fryer's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAMILTON-BATES INVESTMENT RESEARCH, INC.

SECURITIES SERVICE NETWORK, LLC

ALTERNITY INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 7/19/2017

SIE

Date: 3/13/2018

Series 6

Date: 5/18/2017

Series 3

Date: 11/3/1987

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HAMILTON-BATES INVESTMENT RESEARCH, INC.

TRUST BUT VERIFY

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