Tonya R. Bains

BAINS, TONYA R

Ventura, CA

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CRD#: 1785768

Professional summary

Tonya Rene Bains is a registered financial advisor currently at BAINS, TONYA R located in Ventura, California.

Tonya is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Tonya has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

TONYA RENE BAINS IS A CALIFORNIA LICENSED INSURANCE AGENT SINCE 10/1988. LICENSE 0752522. SALES AND SERVICES OF LIFE INSURANCE, FIXED ANNUITIES, AND LONG TERM CARE PRODUCTS. DEVOTES 10 HRS/MO. FIXED ONLY, NO VARIABLE PRODUCTS. NOT INVESTMENT-RELATED. TONYA RENE BAINS IS A CALIFORNIA REAL ESTATE AGENT SINCE 04/2021, LICENSE ID 02119670. DEVOTES 12 HRS/MO. NOT INVESTMENT-REALATED. TONYA RENE BAINS IS ALSO A PERSONAL ASSISTANT SINCE 7/2023. NON INVESTMENT-RELATED ASSISTANCE ONLY. DEVOTES 10 HOURS A MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tonya Rene Bains'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

November 6, 2024 - Present

BAINS, TONYA R

RIA

CRD#: 331854

Ventura, CA

Past

December 15, 2022 - July 19, 2023

FIRST ADVISORS NATIONAL, LLC

RIA

CRD#: 166212

Ventura, CA

Past

December 2, 2010 - December 21, 2022

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Ventura, CA

Past

December 1, 2010 - December 21, 2022

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Ventura, CA

Past

May 3, 2000 - December 8, 2010

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

VENTURA, CA

Past

May 1, 2000 - December 8, 2010

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

VENTURA, CA

Past

January 20, 1998 - May 2, 2000

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

February 27, 1995 - January 20, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 26, 1990 - March 1, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 3, 1988 - January 31, 1990

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

October 3, 1988 - January 31, 1990

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

January 19, 1988 - April 27, 1988

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

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
(11/6/2024)

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

IAR

Series 65

Date: 6/22/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/18/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Current Firm

BAINS, TONYA R

CRD#: 331854 / SEC#:

California

Registered Investment Advisory firm - (11/6/2024 Approved)

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Contact information

Main Address

Ventura, CA

Mailing Address

Phone number

(805) 701-9228

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 3,443,179

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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Tonya R. Bains

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tonya Rene Bains's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST ADVISORS NATIONAL, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

LPL FINANCIAL LLC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 6/22/1998

Series 63

Date: 2/18/1988

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1988

Current Firm

BAINS, TONYA R

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BAINS, TONYA R

TRUST BUT VERIFY

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