Davis J. Blaine

MENTOR SECURITIES

Westlake Villiage, CA 91362

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CRD#: 5581502

Professional summary

Davis Justin Blaine is a registered financial professional currently at MENTOR SECURITIES, LLC located in Westlake Villiage, California.

Davis is registered as a RR (Registered Representative) and started their career in finance in 2008. Davis has worked at 3 firms and has passed the Series 63, Series 66, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Davis Justin Blaine'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

April 28, 2010 - Present

MENTOR SECURITIES, LLC

Office #1: 200 N. Westlake Boulevard Suite 204, Westlake Villiage, CA 91362

RIA

CRD#: 147682

Westlake Villiage, CA

Past

June 1, 2009 - March 15, 2010

MORGAN STANLEY

RIA

CRD#: 149777

WOODLAND HILLS, CA

Past

June 1, 2009 - March 15, 2010

MORGAN STANLEY

CRD#: 149777

WOODLAND HILLS, CA

Past

October 21, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WOODLAND HILLS, CA

Past

September 30, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WOODLAND HILLS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(8/13/2018)

Exams

State Security Law Exam

Series 63

Date: 8/13/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/14/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MENTOR SECURITIES, LLC

MENTOR SECURITIES, INC. | MENTOR SECURITIES, LLC

CRD#: 147682 / SEC#: 801-72714, 8-67923

RIA

Registered Investment Advisory firm - SEC (5/17/2012 Terminated)

California

Registered Investment Advisory firm - SEC (2/26/2018 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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

200 N. Westlake Boulevard Suite 204, Westlake Village, CA 91362

Mailing Address

200 N. Westlake Boulevard Suite 204, Westlake Villiage, CA 91362

Phone number

(818) 991-4150

Established

California since 05/08/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
THE MENTOR GROUP, INC.	OWNER
BLAINE, DAVIS	CHIEF COMPLIANCE OFFICER

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Davis J. Blaine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Davis Justin Blaine's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/13/2018

Series 66

Date: 10/14/2008

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/29/2008

FINRA

Current Firm

MENTOR SECURITIES, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MENTOR SECURITIES, LLC

TRUST BUT VERIFY

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