Todd E. Dawes

CERTIS CAPITAL MANAGEMENT

Santa Barbara, CA 93101

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CRD#: 4547462

Professional summary

Todd Emil Dawes, who also goes by Todd Emil Dawes, is a registered financial advisor currently at CERTIS CAPITAL MANAGEMENT, INC. located in Santa Barbara, California and MERUS ADVISORS, LLC located in Santa Barbara, California.

Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Todd has worked at 6 firms and has passed the Series 63, Series 66, Series 82TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Todd Emil Dawes

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) Merus Advisors, LLC; Yes; 801 Garden Street, Santa Barbara, CA, 93101; Registered Investment Advisor serving the high net worth community.; Founder, Portfolio Manager; 07/22/2016; 100; 40; In addition to management support for the business, I am responsible for sourcing and monitoring investment product, building portfolios and servicing the clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Emil Dawes'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

January 14, 2015 - Present

CERTIS CAPITAL MANAGEMENT, INC.

Office #1: 801 Garden Street Suite 300, Santa Barbara, CA 93101

RIA

CRD#: 144290

Santa Barbara, CA

Current

September 9, 2016 - Present

MERUS ADVISORS, LLC

Office #1: 801 Garden Street Suite 300, Santa Barbara, CA 93101

RIA

CRD#: 284725

Santa Barbara, CA

Current

July 18, 2025 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003

CRD#: 305908

New York, NY

Past

January 29, 2007 - August 13, 2014

PERSIMMON CAPITAL MANAGEMENT LP

RIA

CRD#: 108107

BLUE BELL, PA

Past

June 10, 2002 - January 4, 2006

ADVISORPORT, INC.

RIA

CRD#: 107938

PLYMOUTH MEETING, PA

Past

June 10, 2002 - January 4, 2006

PERSIMMON SECURITIES, INC.

CRD#: 107943

KING OF PRUSSIA, PA

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(1/14/2015)

California
(7/21/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/26/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/28/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 82TO

Date: 7/18/2025

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 8/13/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CERTIS CAPITAL MANAGEMENT, INC.

CRD#: 144290 / SEC#:

California

Registered Investment Advisory firm - (1/1/2008 Approved)

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Contact information

Main Address

801 Garden Street Suite 300, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 965-0509

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 183,860,000

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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CURTIS ADVISORY GROUP, LLC

IAR

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Todd E. Dawes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Emil Dawes's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERUS ADVISORS, LLC

FINALIS SECURITIES LLC

PERSIMMON CAPITAL MANAGEMENT LP

ADVISORPORT, INC.

PERSIMMON SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/26/2024

Series 66

Date: 6/28/2000

Series 82TO

Date: 7/18/2025

SIE

Date: 8/13/2024

Series 7

Date: 12/1/2000

FINRA

Current Firm

CERTIS CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CERTIS CAPITAL MANAGEMENT, INC.

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