Paul B. Spraycar

UPPER BASIN CAPITAL

Steamboat Springs, CO

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CRD#: 7334852

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.

Name of business: Upper Basin Trading, LLC Investment-related? Yes Nature of business: managing securities to profit from short-term market movements Title: Member Start Date: 01/01/2021 Approx. number of hours/month: 80 Approx. number of hours/month during securities trading hours: 60 Duties: managing securities to profit from short-term market movements

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)

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 65

Date: 2/16/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/24/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/24/2018

National Commodity Futures Examination

Current Firm

UPPER BASIN CAPITAL, LLC

CRD#: 312789 / SEC#:

Colorado

Registered Investment Advisory firm - (4/23/2021 Approved)

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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
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.

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Paul B. Spraycar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Baker Spraycar's CRS (Customer Relationship Summary).

Certified licenses

Experience

UPPER BASIN CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/16/2021

Series 63

Date: 3/24/2017

Series 3

Date: 10/24/2018

Current Firm

UPPER BASIN CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

UPPER BASIN CAPITAL, LLC

TRUST BUT VERIFY

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