linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Charles Thomas Baker

Nylife Distributors LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Charles? Claim Your Profile

About Charles Thomas Baker

Charles Baker is a financial advisor who has been in the industry since 1997. Charles has experience in providing investment advice and financial planning services. He currently holds registrations with the following firms: Nylife Distributors LLC, Global Atlantic Distributors, LLC, Transamerica Capital, Inc., Directed Services LLC, Wells Fargo Investments, LLC, BANC ONE Securities Corporation, Corporate Securities Group, Inc., and FAB Securities of America, Inc. Charles holds licenses in Alabama, Arkansas, Florida, Louisiana, Mississippi, and Texas.

Firm Information

Charles Baker is currently registered with Nylife Distributors LLC. Nylife Distributors LLC is a Limited Liability Company that was formed in October 2003. The company is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

300

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Charles Baker’s Registration & Firm History

NY

06/17/2019 - Present

Nylife Distributors LLC (NEW YORK NY)

CT

06/09/2014 - 04/02/2019

GLOBAL ATLANTIC DISTRIBUTORS, LLC (HARTFORD CT)

CO

12/09/2010 - 06/06/2014

TRANSAMERICA CAPITAL, INC. (DENVER CO)

PA

07/13/2006 - 12/01/2010

DIRECTED SERVICES LLC (WEST CHESTER PA)

TX

11/20/2003 - 07/19/2006

WELLS FARGO INVESTMENTS, LLC (MISSOURI CITY TX)

IL

04/17/2000 - 11/20/2003

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

MO

03/29/1999 - 11/02/1999

CORPORATE SECURITIES GROUP, INC. (ST. LOUIS MO)

NY

01/20/1997 - 04/08/1999

FAB SECURITIES OF AMERICA, INC. (NEW YORK NY)

Not sure if Charles Thomas Baker is right for you?

Licenses & Designations

BC

Issued 02/05/2011

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 09/16/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/24/1999

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/17/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for Charles Thomas Baker. Review regulatory record here.
Not sure if Charles Thomas Baker is right for you?