Nicholas B. Bell

DUNVEGAN ASSOCIATES

Oakland, CA

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CRD#: 7792629

Professional summary

Nicholas Baxter Bell Mr is a registered financial advisor currently at DUNVEGAN ASSOCIATES INC located in Oakland, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Nicholas has worked at 1 firm and has passed the Series 65 exam.

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 Nicholas Baxter Bell Mr'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

August 2, 2023 - Present

DUNVEGAN ASSOCIATES INC

RIA

CRD#: 108603

Oakland, 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

California
(8/2/2023)

IAR

North Carolina
(8/2/2023)

IAR

Texas
(8/2/2023)

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: 11/26/2022

Uniform Investment Adviser Law Examination

Current Firm

DUNVEGAN ASSOCIATES INC

DUNVEGAN ASSOCIATES INC | SPYTRADER.COM | SPYTRADER | DUNVEGAN.COM | DUNVEGAN ASSOCIATES, INC.

CRD#: 108603 / SEC#: 801-11453

RIA

Registered Investment Advisory firm - (9/12/2017 Terminated)

California

Registered Investment Advisory firm - (9/13/2017 Approved)

North Carolina

Registered Investment Advisory firm - (4/2/2018 Approved)

Texas

Registered Investment Advisory firm - (5/13/2019 Conditional Restricted)

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

1114 State Street, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 969-5432

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 46,416,348

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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Nicholas B. Bell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Baxter Bell Mr's CRS (Customer Relationship Summary).

Certified licenses

Experience

DUNVEGAN ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/26/2022

Current Firm

DUNVEGAN ASSOCIATES INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DUNVEGAN ASSOCIATES INC

TRUST BUT VERIFY

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