DB
David A. Baines
PANTILE INVESTMENTS
Westminster, CO
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CRD#: 7337970
DB
Professional summary
David Andrew Baines is a registered financial advisor currently at PANTILE INVESTMENTS located in Westminster, Colorado.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. David has worked at 1 firm and has passed the Series 65 and SIE 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.
CRS (Client Relationship Summary) - RIA
Click below to view David Andrew Baines'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®
NoneExperience
Current
March 26, 2021 - Present
PANTILE INVESTMENTS
RIA
CRD#: 312696
Westminster, 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(3/30/2021)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
PI
PANTILE INVESTMENTS
PANTILE ASSET RESEARCH | PANTILE INVESTMENTS LLC | PANTILE INVESTMENTS
CRD#: 312696 / SEC#:
Colorado
Registered Investment Advisory firm - (3/30/2021 Approved)Missouri
Registered Investment Advisory firm - (12/17/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Westminster, CO
Mailing Address
Phone number
(508) 801-7134
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 12 |
| AUM (Assets Under Management) | $ 3,534,308 |
Red Flags
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