Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Baker has been in the financial services industry since September 26, 1980. Charles is currently registered with LPL Financial LLC and has been with the firm since February 29, 2016. Charles previously worked for Ameriprise Financial Services, Inc., Wells Fargo Advisors, LLC, and UBS Financial Services Inc., among other firms. Charles has a variety of licenses and registrations, including Series 3, 5, 7, 63, and 65. Charles specializes in providing a range of financial services, including financial planning, portfolio management for individuals and businesses, and consulting.
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.
Consulting and other non-discretionary advisory 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
UT
02/29/2016 - Present
LPL Financial LLC (SANDY UT)
UT
01/27/2012 - 02/29/2016
AMERIPRISE FINANCIAL SERVICES, INC. (MIDVALE UT)
UT
01/03/2011 - 01/30/2012
WELLS FARGO ADVISORS, LLC (SALT LAKE CITY UT)
UT
07/12/2005 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SALT LAKE CITY UT)
NJ
09/21/1998 - 07/29/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
03/03/1991 - 10/02/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
12/20/1990 - 03/08/1991
G. R. PHELPS & CO., INC.
NY
02/15/1988 - 12/13/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
06/17/1983 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
09/26/1980 - 06/17/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 03/23/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/1988
Series 3 - National Commodity Futures Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 09/20/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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