DB
Deborah L. Baur
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CRD#: 2882901
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.
Deborah Lynn Baur, who also goes by Debbie Baur, Deborah Lynn Berg, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1998. Deborah had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Debbie Baur | Deborah Lynn Berg
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 | Name of the other business: SEVEN DESIGN GROUP | Investment-related? NO | Address of the other business: 80 LIBERTY SHIP WAY, APT. 22, SAUSALITO, CA 94965 | Nature of the other business: WEBSITE DESIGN | Position, title, or relationship with the other business: ACCOUNTANT | Start date of your relationship: 02/01/2013 | Approximate number of hours/month you devote to the other business: 6-10 | Number of hours you devote to the other business during securities trading hours: 0 | Duties relating to the other business: ENTER ACCOUNTING DATA IN QUICKBOOKS & INVOICE CLIENTS #2 | Name of the other business: OSMO NUTRITION | Investment-related? NO | Address of the other business: 80 LIBERTY WAY, #22, SAUSALITO, CA 94965 | Nature of the other business: NUTRITIONAL SUPPLEMENTS | Position, title, or relationship with the other business: ACCOUNTANT | Start date of your relationship: 11/01/2017 | Approximate number of hours/month you devote to the other business: 6-10 | Number of hours you devote to the other business during securities trading hours: 0 | Duties relating to the other business: ENTER ACCOUNTING DATA IN QUICKBOOKS, INVOICE CLIENTS, & TRACK INVENTORY #3 | Name of the other business: POCKITABILITY | Investment-related? NO | Address of the other business: 2219 NE 118TH PLACE, VANCOUVER, WA 98684 | Nature of the other business: WOMEN'S CLOTHING STORE | Position, title, or relationship with the other business: OWNER | Start date of your relationship: 06/01/2010 | Approximate number of hours/month you devote to the other business: 1-5 | Number of hours you devote to the other business during securities trading hours: 0 | Duties relating to the other business: SELL WOMEN'S CLOTHING ONLINE #4 | Name of the other business: NORTH COAST FIDUCIARY | Investment-related? NO | Address of the other business: 1630 N MAIN STREET, PMB 51, WALNUT CREEK, CA 94956 | Nature of the other business: FIDUCIARY FOR TRUSTS & CONSERVATORSHIPS | Position, title, or relationship with the other business: ACCOUNTANT | Start date of your relationship: 02/01/2019 | Approximate number of hours/month you devote to the other business: 6-10 | Number of hours you devote to the other business during securities trading hours: 0 | Duties relating to the other business: CREATE EXCEL DOCUMENTS SUMMARIZING EXPENSES & INCOME FOR TRUSTS AND CONSERVATORSHIPS TO SUBMIT TO COURT
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®
NoneExperience
Past
March 17, 2021 - March 15, 2022
FISHER INVESTMENTS
RIA
CRD#: 107342
CAMAS, WA
Past
July 21, 2006 - March 3, 2008
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
SAN FRANCISCO, CA
Past
May 28, 2004 - April 26, 2005
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
May 21, 2003 - June 8, 2004
MOORS & CABOT, INC.
BD
CRD#: 594
BOSTON, MA
Past
November 19, 2002 - March 5, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 22, 2002 - October 16, 2002
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
April 28, 1999 - April 20, 2001
ROBERTSON STEPHENS, INC.
BD
CRD#: 41271
SAN FRANCISCO, CA
Past
October 21, 1998 - April 20, 1999
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
NEW YORK, NY
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".
FISHER INVESTMENTS
FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
RIA
Registered Investment Advisory firm - (3/26/1987 Approved)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
State Security Law Exam
General Industry/Product Exam
Current Firm
FISHER INVESTMENTS
FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
RIA
Registered Investment Advisory firm - (3/26/1987 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6500 International Pkwy Ste 2050, Plano, TX 75093-8222
Mailing Address
Phone number
(800) 851-8845
Established
Firm type
Fiscal year end
# of Employees
4,065
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
