Davis Blaine

MENTOR SECURITIES

Westlake Villiage, CA 91362

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CRD#: 5586550

Professional summary

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

Davis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Davis has worked at 1 firm and has passed the Series 65, Series 63, Series 79TO, SIE, Series 62 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.

NAME:THE MENTOR GROUP INVESTMENT RELATED:NO ADDRESS: 200 NORTH WESTLAKE BLVD., SUITE 204 WESTLAKE VILLAGE, CA 91362 NATURE:INVESTMENT BANKING, VALUATION AND APPRAISAL SERVICES TITLE:CHAIRMAN OF THE BOARD; LEGACY FORUM NATURE: NETWORKING TITLE: FOUNDER, CHAIRMAN HOURS/MO.:200 DUTIES:PRIMARILY CLIENT RELATIONS VIA BUSINESS DEVELOPMENT; TECHNICAL ANALYSIS OF CLIENT PROSPECT NEEDS AND OVERALL OPERATIONS AND DELIVERY OF SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

Click below to view Davis 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

February 26, 2018 - Present

MENTOR SECURITIES, LLC

Office #1: 200 N. Westlake Boulevard Suite 204, Westlake Villiage, CA 91362Office #2: 200 N. Westlake Boulevard, Suite 204, Westlake Village, CA 91362

RIA

CRD#: 147682

Westlake Villiage, CA

Current

January 5, 2009 - Present

MENTOR SECURITIES, LLC

Office #1: 200 N. Westlake Boulevard Suite 204, Westlake Villiage, CA 91362Office #2: 200 N. Westlake Boulevard, Suite 204, Westlake Village, CA 91362

RIA

CRD#: 147682

Westlake Villiage, CA

Past

January 12, 2012 - December 31, 2017

MENTOR SECURITIES, LLC

RIA

CRD#: 147682

WESTLAKE VILLAGE, CA

Past

December 2, 2009 - August 22, 2011

MENTOR SECURITIES, LLC

RIA

CRD#: 147682

WESTLAKE VILLAGE, 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.

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
(1/17/2018)

IAR

California
(2/26/2018)

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

IAR

Series 65

Date: 2/5/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/13/2008

Uniform Securities Agent 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 62

Date: 9/22/2008

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/10/2008

General Securities Principal 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

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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Advisor Monitoring

Firm Stability Insights

Davis Blaine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

MENTOR SECURITIES, LLC

MENTOR SECURITIES, LLC

MENTOR SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/5/2009

Series 63

Date: 10/13/2008

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 62

Date: 9/22/2008

Series 24

Date: 10/10/2008

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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