TB
Travis L. Bator
CAPSTONE INVESTMENT GROUP
Olympia, WA 98502
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CRD#: 5241485
TB
Professional summary
Travis Leigh Bator is a registered financial advisor currently at CAPSTONE INVESTMENT GROUP located in Olympia, Washington and M. S. HOWELLS & CO. located in Olympia, Washington.
Travis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Travis has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 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.
1. MN DNR FIREARMS SAFETY INSTRUCTOR; Investment related- no; St Paul, MN; Nature- Teach firearm safety 12yrs and up; Position/Title- employee; Start date- 4.14.25; Approximately 1 hour per month, 0 during trading hours; Description- Teacher 2. TLB Law; Investment related- No; Deforest, WI; Nature- Law Practice; Position/Title- Owner/Attorney; Start date- 8/2024; Approximately 20 hours per month, 0 during trading hours; Description- Focuses is on document formation for new businesses, updates to existing governing documents and limited estate planning 3) Notary; Investment related- No; Deforest, WI; Nature- WI Notary; Position/Title- Owner; Start date- 4.14.25; Approximately 1 hour per month, 0 during trading hours; Description- Notarize documents 4) Travis Leigh Bator is also dually licensed as a Registered Representative of M.S. Howells & Co., a broker/dealer.
CRS (Client Relationship Summary) - RIA
Click below to view Travis Leigh Bator'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®
NoneExperience
Current
May 1, 2025 - Present
CAPSTONE INVESTMENT GROUP
Office #1: 2405 Evergreen Park Drive Sw Bldg A, Olympia, WA 98502RIA
CRD#: 159918
Olympia, WA
Current
April 17, 2025 - Present
M. S. HOWELLS & CO.
Office #1: 2405 Evergreen Park Dr. Sw Bldg A, Olympia, WA 98502BD
CRD#: 104100
Olympia, WA
Past
September 6, 2023 - August 2, 2024
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
Past
September 5, 2023 - August 2, 2024
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
SAN DIEGO, CA
Past
February 8, 2021 - September 7, 2023
HARBOUR INVESTMENTS, INC.
RIA
CRD#: 19258
MADISON, WI
Past
February 5, 2021 - September 7, 2023
HARBOUR INVESTMENTS, INC.
BD
CRD#: 19258
MADISON, WI
Past
July 11, 2017 - August 13, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Minneapolis, MN
Past
December 7, 2006 - August 13, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Minneapolis, MN
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".
CI
CAPSTONE INVESTMENT GROUP
CAPSTONE INVESTMENT GROUP | CAPSTONE TRUST | CAPSTONE INVESTMENT GROUP, LLC
CRD#: 159918 / SEC#: 801-121820
RIA
Registered Investment Advisory firm - (7/22/2021 Approved)Arizona
Registered Investment Advisory firm - (12/8/2020 Terminated)California
Registered Investment Advisory firm - (9/8/2021 Terminated)Oregon
Registered Investment Advisory firm - (8/10/2021 Terminated)Texas
Registered Investment Advisory firm - (8/9/2021 Terminated)Washington
Registered Investment Advisory firm - (4/7/2022 Terminated)Wisconsin
Registered Investment Advisory firm - (12/8/2020 Terminated)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.RR
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
RR
Arizona(5/7/2025)
RR
California(5/7/2025)
RR
North Dakota(5/7/2025)
RR
Oregon(5/7/2025)
IAR
Oregon(6/4/2025)
RR
South Dakota(5/7/2025)
RR
Texas(5/7/2025)
RR
Washington(4/17/2025)
IAR
Washington(5/19/2025)
RR
Wisconsin(4/17/2025)
IAR
Wisconsin(5/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAPSTONE INVESTMENT GROUP
CAPSTONE INVESTMENT GROUP | CAPSTONE TRUST | CAPSTONE INVESTMENT GROUP, LLC
CRD#: 159918 / SEC#: 801-121820
RIA
Registered Investment Advisory firm - (7/22/2021 Approved)Arizona
Registered Investment Advisory firm - (12/8/2020 Terminated)California
Registered Investment Advisory firm - (9/8/2021 Terminated)Oregon
Registered Investment Advisory firm - (8/10/2021 Terminated)Texas
Registered Investment Advisory firm - (8/9/2021 Terminated)Washington
Registered Investment Advisory firm - (4/7/2022 Terminated)Wisconsin
Registered Investment Advisory firm - (12/8/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2405 Evergreen Park Drive Sw Bldg A, Olympia, WA 98502
Mailing Address
2405 Evergreen Park Drive Sw Bldg A, Olympia, WA 98502
Phone number
(360) 570-9888
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,178 |
| AUM (Assets Under Management) | $ 152,420,481 |
Red Flags
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Company Information
CAPSTONE INVESTMENT GROUP
CRD#: 159918Olympia, WA 98502TRUST BUT VERIFY
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