Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allen? Claim Your ProfileAllen Baker is a financial advisor with Ameriprise Financial Services, LLC, a firm with over 12,000 investment advisor representatives. Allen is also registered as an Investment Advisor Representative in Texas. Allen has over 30 years of experience in the financial industry. He is registered with FINRA as a registered representative and has a Series 3, 7, and 63 license. Allen is also a Certified Financial Planner. Allen has experience providing financial planning services to individuals, businesses, and trusts.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
TX
04/12/2019 - Present
Ameriprise Financial Services, LLC (Houston TX)
TX
01/15/2009 - 04/23/2019
RBC CAPITAL MARKETS, LLC (HOUSTON TX)
TX
11/17/2000 - 01/27/2009
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
NY
03/02/1998 - 11/17/2000
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
07/13/1995 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NY
01/09/1990 - 07/05/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
04/11/1988 - 12/31/1988
THE INVESTMENT CENTER, INC.
NA
01/10/1982 - 12/08/1987
ROTAN MOSLE INC.
IA
Issued 04/07/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/11/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1990
Series 3 - National Commodity Futures Examination
BC
Issued 11/21/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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