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Paul B. Spraycar

UPPER BASIN CAPITAL
Steamboat Springs, CO
Some features on this profile are disabled
CRD#: 7334852
PS

Professional summary

Paul Baker Spraycar is a registered financial advisor currently at UPPER BASIN CAPITAL, LLC located in Steamboat Springs, Colorado.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Paul has worked at 1 firm and has passed the Series 65, Series 63 and Series 3 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Baker Spraycar'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

April 23, 2021 - Present

UPPER BASIN CAPITAL, LLC

RIA
CRD#: 312789
Steamboat Springs, CO

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
(4/23/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/16/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/24/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 10/24/2018
National Commodity Futures Examination

Current Firm

UB
UPPER BASIN CAPITAL, LLC
UPPER BASIN CAPITAL, LLC

CRD#: 312789 / SEC#:

Colorado
Registered Investment Advisory firm - (4/23/2021 Approved)
PREMIUM
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Contact information

Main Address
Steamboat Springs, CO
Mailing Address
Phone number
(773) 495-5802
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts7
AUM (Assets Under Management)$ 2,724,320

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

UPPER BASIN CAPITAL, LLC

CRD#: 312789Steamboat Springs, CO

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