Andrew M. Davis

SEAMLESS FINANCIAL PLANNING

Littleton, CO

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CRD#: 6256057

Professional summary

Andrew Mead Davis, CFP® is a registered financial advisor currently at SEAMLESS FINANCIAL PLANNING located in Littleton, Colorado.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Andrew has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 6 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.

Andrew Davis is the Chief Financial Officer of The Baldwin Group, LLC (doing business as The Speaker Lab). The company provides education and training to public speakers. The activity accounts for 80% of his time and is not investment-related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Mead Davis'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®

CFP^®

Certified Financial Planner

Experience

Current

February 12, 2016 - Present

SEAMLESS FINANCIAL PLANNING

RIA

CRD#: 282343

Littleton, CO

Past

March 10, 2015 - October 12, 2015

SANDERS MORRIS LLC

CRD#: 20580

CENTURY CITY, CA

Past

January 26, 2015 - October 12, 2015

EDELMAN FINANCIAL SERVICES, LLC

RIA

CRD#: 113299

FAIRFAX, VA

Past

September 30, 2013 - January 22, 2015

NAVALIGN, LLC

RIA

CRD#: 119919

SHERMAN OAKS, 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(8/16/2019)

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

Series 63

Date: 4/25/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/26/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/12/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/10/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SEAMLESS FINANCIAL PLANNING

SEAMLESS FINANCIAL PLANNING | SEAMLESS FINANCIAL PLANNING, LLC

CRD#: 282343 / SEC#:

Arizona

Registered Investment Advisory firm - (11/14/2019 Terminated)

California

Registered Investment Advisory firm - (3/27/2019 Terminated)

Colorado

Registered Investment Advisory firm - (8/16/2019 Approved)

Texas

Registered Investment Advisory firm - (10/15/2018 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).

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Contact information

Main Address

Littleton, CO

Mailing Address

Phone number

(303) 335-5773

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	29
AUM (Assets Under Management)	$ 7,383,592

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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Andrew M. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SEAMLESS FINANCIAL PLANNING

SANDERS MORRIS LLC

EDELMAN FINANCIAL SERVICES, LLC

NAVALIGN, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/25/2015

Series 65

Date: 9/26/2013

SIE

Date: 10/12/2015

Series 6

Date: 3/10/2015

Current Firm

SEAMLESS FINANCIAL PLANNING

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SEAMLESS FINANCIAL PLANNING

TRUST BUT VERIFY

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