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DB

Davis Blaine

Some features on this profile are disabled
CRD#: 5586550
DB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Davis Blaine was a registered financial professional .

Davis is a previously registered financial professional and started their career in finance in 2009. Davis had 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"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 26, 2018 - December 18, 2025

MENTOR SECURITIES, LLC

RIA
CRD#: 147682
Westlake Village, 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
Past

January 5, 2009 - December 18, 2025

MENTOR SECURITIES, LLC

BD
CRD#: 147682
Westlake Village, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/5/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/13/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 9/22/2008
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/10/2008
General Securities Principal Examination

Current Firm

MS
MENTOR SECURITIES, LLC
MENTOR SECURITIES, INC. | MENTOR SECURITIES, LLC

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

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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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
4

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
THE MENTOR GROUP, INC.OWNER
BLAINE, DAVISCHIEF 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.

Company Information

MENTOR SECURITIES, LLC

CRD#: 147682

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