Leah D. Davis

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CRD#: 5699954

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.

Leah Denise Davis was a registered financial professional .

Leah is a previously registered financial professional and started their career in finance in 2011. Leah had worked at 5 firms and has passed the Series 66, 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.

Self-Employed - Investment Related - 1226 Canyon Village Cir, San Ramon, CA 94583 - Insurance Broker - Insurance broker services for life insurance and long term care - Approx 9 hours spent per month. Sage Financial Solutions - Not Investment Related - 1000 Broadway, Suite 300, Oakland, CA 94607 - Financial Coach - Financial coaching for low income parents participating in the Brilliant Baby program. - Approx 30-40 hours per month. Self-Employed: Leah Davis LLC, non-investment related, 1226 Canyon Village Circle, San Ramon CA 94583 - financial coaching services, approximately 30-40 hours per month

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

July 9, 2021 - January 4, 2024

NIA IMPACT CAPITAL

RIA

CRD#: 286587

BERKELEY, CA

Past

May 15, 2018 - July 9, 2019

BEDELL FRAZIER INVESTMENT COUNSELLING, LLC.

RIA

CRD#: 107326

Walnut Creek, CA

Past

March 25, 2017 - August 30, 2017

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

SAN JOSE, CA

Past

March 25, 2017 - August 30, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

SAN JOSE, CA

Past

October 12, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

SAN JOSE, CA

Past

September 10, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SAN JOSE, CA

Past

November 16, 2011 - March 26, 2014

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

SAN MATEO, CA

Past

June 7, 2011 - March 26, 2014

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

SAN MATEO, CA

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".

NIA IMPACT CAPITAL

NIA COMMUNITY INVESTMENTS, LLC | NIA IMPACT CAPITAL | NIA IMPACT ADVISORS, LLC | NIA GLOBAL SOLUTIONS

CRD#: 286587 / SEC#: 801-117120

RIA

Registered Investment Advisory firm - (8/2/2019 Approved)

California

Registered Investment Advisory firm - (10/17/2019 Terminated)

Texas

Registered Investment Advisory firm - (9/17/2019 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).

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.

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 66

Date: 9/23/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/6/2011

General Securities Representative Examination

Current Firm

NIA IMPACT CAPITAL

NIA COMMUNITY INVESTMENTS, LLC | NIA IMPACT CAPITAL | NIA IMPACT ADVISORS, LLC | NIA GLOBAL SOLUTIONS

CRD#: 286587 / SEC#: 801-117120

RIA

Registered Investment Advisory firm - (8/2/2019 Approved)

California

Registered Investment Advisory firm - (10/17/2019 Terminated)

Texas

Registered Investment Advisory firm - (9/17/2019 Terminated)

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Contact information

Main Address

Berkeley, CA

Mailing Address

4900 Shattuck Ave #3648, Oakland, CA 94609

Phone number

(510) 319-9221

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NIA IMPACT CAPITAL FORM ADV PART 2A 3.31.25 (8/12/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 525,668,520

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

Leah D. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BEDELL FRAZIER INVESTMENT COUNSELLING, LLC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NIA IMPACT CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 9/23/2011

SIE

Date: 8/30/2017

Series 7

Date: 6/6/2011

Current Firm

NIA IMPACT CAPITAL

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NIA IMPACT CAPITAL

TRUST BUT VERIFY

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