David L. Hiser
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 Lee Hiser was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 5 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2005 - June 26, 2018
BAKER ELLIS ASSET MANAGEMENT LLC
April 2, 2004 - January 3, 2005
BLACKWELL DONALDSON & COMPANY
May 21, 1998 - February 4, 2002
WILSON-DAVIS & CO., INC.
July 18, 1991 - April 6, 1998
AMERITRADE NORTHWEST, INC.
April 15, 1991 - May 8, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
BAKER ELLIS ASSET MANAGEMENT LLC
CRD#: 121802 / SEC#: 801-61479
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
Series 55
Date: 4/3/2000
Limited Representative-Equity Trader ExamCurrent Firm
BAKER ELLIS ASSET MANAGEMENT LLC
CRD#: 121802 / SEC#: 801-61479
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 343 |
| AUM (Assets Under Management) | $ 1,047,120,232 |
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.
