Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Loren Baker is a registered representative with Stifel, Nicolaus & Company, Inc. Bruce has been in the securities industry since July 1988. Bruce has a broad range of experience in the financial services industry, including providing portfolio management for individuals and businesses, as well as financial planning services. Bruce has licenses in 23 states, including California, Texas, Florida, and Arizona. Bruce has been associated with Stifel, Nicolaus & Company, Inc. since November 2008. Bruce is a Series 7 and Series 63 license holder.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
05/06/2020 - Present
Stifel, Nicolaus & Company, Inc. (CARLSBAD CA)
CA
01/01/2008 - 11/12/2008
WACHOVIA SECURITIES, LLC (FALLBROOK CA)
CA
07/09/1995 - 01/03/2008
A. G. EDWARDS & SONS, INC. (FALLBROOK CA)
NJ
05/11/1994 - 08/08/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/20/1988 - 05/03/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 07/27/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/24/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/21/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/1989
Series 3 - National Commodity Futures Examination
BC
Issued 07/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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