Techi P. Carreon

BAKER STREET ASSET MANAGEMENT

SAUSALITO, CA 94965

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CRD#: 4364726

Professional summary

Techi Pugeda Carreon, who also goes by Techi Carreon Jacobs, Techi Pugeda Jacobs, is a registered financial advisor currently at BAKER STREET ASSET MANAGEMENT, LLC located in Sausalito, California.

Techi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Techi has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Techi Carreon Jacobs | Techi Pugeda Jacobs

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.

LITEBITE INC. SAN FRANCISCO, CA. 01/2011 TO PRESENT. PROPRIETOR/OWNER. RESTAURANT AND CATERING. 112 HOURS PER MONTH, 80 HOURS DURING TRADING. CLOSES THE RESTAURANT AT NIGHT, WORK ON THE WEEKENDS WHEN NEEDED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Techi Pugeda Carreon'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

February 28, 2019 - Present

BAKER STREET ASSET MANAGEMENT, LLC

Office #1: 1 Harbor Drive Suite 300, Sausalito, CA 94965

RIA

CRD#: 299027

SAUSALITO, CA

Past

October 18, 2018 - March 1, 2019

INVESTOR FAN

RIA

CRD#: 159301

San Francisco, CA

Past

July 20, 2011 - September 11, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

San Franciso, CA

Past

July 19, 2011 - September 11, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SAN FRANCISCO, CA

Past

January 3, 2011 - July 27, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN FRANCISCO, CA

Past

January 3, 2011 - July 27, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN FRANCISCO, CA

Past

September 14, 2007 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN FRANCISCO, CA

Past

April 21, 2005 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

March 28, 2001 - April 22, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, 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
(2/28/2019)

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: 9/13/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/7/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/27/2001

General Securities Representative Examination

Current Firm

BAKER STREET ASSET MANAGEMENT, LLC

BAKER STREET ASSET MANAGEMENT | BAKER STREET ASSET MANAGEMENT, LLC

CRD#: 299027 / SEC#: 801-114193

RIA

Registered Investment Advisory firm - (12/19/2019 Terminated)

California

Registered Investment Advisory firm - (12/18/2019 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

1 Harbor Drive Suite 300, Sausalito, CA 94965

Mailing Address

Phone number

(877) 564-5175

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	189
AUM (Assets Under Management)	$ 73,075,976

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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Firm Stability Insights

Techi P. Carreon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Techi Pugeda Carreon's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTOR FAN

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WAMU INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/2007

Series 63

Date: 7/7/2001

SIE

Date: 9/11/2018

Series 7

Date: 3/27/2001

Current Firm

BAKER STREET ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BAKER STREET ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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