David L. Baskins

AVISEN ADVISORS

Sacramento, CA 95864

Some features on this profile are disabled

CRD#: 704432

Professional summary

David Loten Baskins is a registered financial advisor currently at AVISEN ADVISORS, LLC located in Sacramento, California and AVISEN WEALTH MANAGEMENT, INC. located in Sacramento, California.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. David has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

AVISEN ADVISORS, LLC., 3620 AMERICAN RIVER DRIVE, SUITE 145, SACRAMENTO, CA 95864 RIA INVESTMENT RELATED. INVESTMENT ADVISOR REPRESENTATIVE, DUTIES INCLUDE PORTFOLIO MANAGEMENT SERVICES. START DATE IS JANUARY 14, 2002. APPROXIMATELY 85 HOURS PER MONTH DEVOTED TO BUSINESS, OF WHICH 48 HOURS ARE DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Loten Baskins's CRS (Customer Relationship Summary).

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

April 6, 2006 - Present

AVISEN ADVISORS, LLC

Office #1: 3620 American River Drive Suite 145, Sacramento, CA 95864

RIA

CRD#: 113791

Sacramento, CA

Current

March 18, 2005 - Present

AVISEN WEALTH MANAGEMENT, INC.

Office #1: 3620 American River Drive, Suite 145, Sacramento, CA 95864

CRD#: 125977

Sacramento, CA

Past

November 2, 1998 - March 21, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SACRAMENTO, CA

Past

April 5, 1988 - March 21, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 24, 1981 - April 19, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

February 22, 1980 - May 20, 1981

BIRR, WILSON & CO., INC.

CRD#: 93

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".

AVISEN ADVISORS, LLC

AVISEN ADVISORS, LLC | BROWN ROBELLO CAPITAL MANAGEMENT, LLC

CRD#: 113791 / SEC#: 801-67652

RIA

Registered Investment Advisory firm - (5/7/2007 Approved)

California

Registered Investment Advisory firm - (8/22/2007 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.

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

Arizona
(5/8/2024)

California
(3/18/2005)

IAR

California
(4/6/2006)

Connecticut
(7/6/2006)

Florida
(4/4/2005)

Georgia
(4/4/2005)

Hawaii
(4/7/2011)

Idaho
(1/15/2008)

Maryland
(5/17/2023)

Massachusetts
(7/21/2022)

Michigan
(9/27/2022)

Missouri
(11/2/2006)

Nevada
(4/4/2005)

New York
(8/13/2014)

Oregon
(4/4/2005)

Pennsylvania
(3/9/2006)

South Carolina
(6/5/2024)

Texas
(5/7/2015)

IAR

Texas
(9/30/2024)

Utah
(6/10/2008)

Washington
(8/19/2020)

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: 8/4/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/1980

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

AVISEN ADVISORS, LLC

AVISEN ADVISORS, LLC | BROWN ROBELLO CAPITAL MANAGEMENT, LLC

CRD#: 113791 / SEC#: 801-67652

RIA

Registered Investment Advisory firm - (5/7/2007 Approved)

California

Registered Investment Advisory firm - (8/22/2007 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3620 American River Drive Suite 145, Sacramento, CA 95864

Mailing Address

Phone number

(916) 480-2747

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	422
AUM (Assets Under Management)	$ 356,123,136

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Jesus Zepeda

PFS INVESTMENTS INC.

SACRAMENTO, CA

Kenneth Christie

SPECTRUM WEALTH ADVISORY GROUP, LLC

IAR

Granite Bay, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David L. Baskins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Loten Baskins's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVISEN WEALTH MANAGEMENT, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

KIDDER, PEABODY & CO. INCORPORATED

BIRR, WILSON & CO., INC.

Primary Firm SEC Registration

AVISEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/4/2008

Series 63

Date: 11/2/1984

SIE

Date: 10/1/2018

Series 7

Date: 2/16/1980

FINRA

Current Firm

AVISEN ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVISEN ADVISORS, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors