David A. Sinclair

MILE HIGH INVESTMENTS

Portsmouth, NH

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CRD#: 5404140

Professional summary

David Arthur Sinclair, who also goes by David Sinclair, is a registered financial advisor currently at MILE HIGH INVESTMENTS, LLC located in Portsmouth, New Hampshire.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. David has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Sinclair

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.

Member; J & S Management, LLP; Investment Related: Yes; Location: PO Box 577, Portsmouth, NH 03802; Description of the business: Real Estate leasing; Responsibilities Duties: Manage Real Estate for purposes of leasing; Start date with business: 2020-07-01; Hours devoted to business during trading hours: 5; Hours devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 3;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Arthur Sinclair'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

July 26, 2011 - Present

MILE HIGH INVESTMENTS, LLC

RIA

CRD#: 156545

Portsmouth, NH

Past

January 4, 2010 - April 8, 2011

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

BROOKLYN, NY

Past

February 12, 2008 - April 8, 2011

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

BROOKLYN, NY

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

Florida
(6/19/2012)

IAR

Massachusetts
(1/2/2013)

IAR

New Hampshire
(9/15/2011)

IAR

New York
(10/9/2021)

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: 5/18/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/20/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/5/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MILE HIGH INVESTMENTS, LLC

CRD#: 156545 / SEC#:

Florida

Registered Investment Advisory firm - (6/19/2012 Approved)

Louisiana

Registered Investment Advisory firm - (12/31/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/2/2013 Approved)

New Hampshire

Registered Investment Advisory firm - (9/12/2011 Approved)

New York

Registered Investment Advisory firm - (4/11/2011 Approved)

Texas

Registered Investment Advisory firm - (11/28/2017 Terminated)

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

Portsmouth, NH

Mailing Address

Po Box 577, Portsmouth, NH 03802

Phone number

(720) 244-2095

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	119
AUM (Assets Under Management)	$ 89,895,014

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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David A. Sinclair

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Arthur Sinclair's CRS (Customer Relationship Summary).

Certified licenses

Experience

MILE HIGH INVESTMENTS, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/18/2009

Series 63

Date: 10/26/2007

Series 7

Date: 7/20/2009

Series 6

Date: 10/5/2007

Current Firm

MILE HIGH INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MILE HIGH INVESTMENTS, LLC

TRUST BUT VERIFY

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