David J. Backens

CERTIS CAPITAL MANAGEMENT

SANTA BARBARA, CA 93101

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CRD#: 5873523

Professional summary

David James Backens, who also goes by David Backens, is a registered financial advisor currently at CERTIS CAPITAL MANAGEMENT, INC. located in Santa Barbara, California and MERUS ADVISORS, LLC located in Santa Barbara, California.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. David has worked at 3 firms and has passed the Series 63, Series 65, Series 82TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Backens

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.

1.) Certis Capital Management, Inc; Investment-related; 801 Garden Street Suite 300, Santa Barbara, CA, 93101; Multi-family Office; Chief Risk Officer; 09/01/2005; 30; 30; Investment due diligence, portfolio management, investment recommendations. 2.) Merus Advisors, LLC; Investment-related; 801 Garden Street, Suite 300, Santa Barbara, CA, 93101; Registered Investment Advisors; Managing Director; 09/01/2016; 30; 30; Investment due diligence, portfolio management, investment recommendations. 3.) Amet Partners GP, LLC; investment-relatd; 801 Garden Street, Suite 300, Santa Barbara, CA, 93101; General Partner of a hedge fund investing in California Carbon Allowances; President; 08/23/2021; 100; 60; President & Portfolio Manager.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David James Backens'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

December 23, 2010 - Present

CERTIS CAPITAL MANAGEMENT, INC.

Office #1: 38 El Paseo Building, Santa Barbara, CA 93101

RIA

CRD#: 144290

SANTA BARBARA, CA

Current

September 9, 2016 - Present

MERUS ADVISORS, LLC

Office #1: 801 Garden Street Suite 300, Santa Barbara, CA 93101

RIA

CRD#: 284725

Santa Barbara, CA

Current

September 11, 2024 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003

CRD#: 305908

New York, 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.

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

IAR

California
(12/23/2010)

California
(9/12/2024)

Virginia
(2/14/2025)

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

Series 63

Date: 8/7/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/19/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 82TO

Date: 9/11/2024

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 7/17/2024

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

CERTIS CAPITAL MANAGEMENT, INC.

CRD#: 144290 / SEC#:

California

Registered Investment Advisory firm - (1/1/2008 Approved)

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Contact information

Main Address

801 Garden Street Suite 300, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 965-0509

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 183,860,000

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 J. Backens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David James Backens's CRS (Customer Relationship Summary).

Certified licenses

Experience

CERTIS CAPITAL MANAGEMENT, INC.

MERUS ADVISORS, LLC

FINALIS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/7/2024

Series 65

Date: 12/19/2009

Series 82TO

Date: 9/11/2024

SIE

Date: 7/17/2024

FINRA

Current Firm

CERTIS CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CERTIS CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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