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Nicholas Baxter Bell

Dunvegan Associates Inc

Oakland, CA

Santa Barbara, CA

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Current Employers
Dunvegan Associates Inc

1114 State Street, Santa Barbara, CA 93101 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-08-02
NC RA APPROVED 2023-08-02
TX RA APPROVED 2023-08-02
  • CA RA
    APPROVED
    Since 2023-08-02
  • NC RA
    APPROVED
    Since 2023-08-02
  • TX RA
    APPROVED
    Since 2023-08-02

Branch Locations

Oakland, CA • United States

1114 State Street, Santa Barbara, CA 93101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Dunvegan Associates, Inc. Santa Barbara CA 07/2010 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-11-26
  • S65 Uniform Investment Adviser Law Examination
    2022-11-26

View on SEC IAPD

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