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Douglas Carl Baker

Charles Schwab & CO., Inc.

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About Douglas Carl Baker

Douglas Carl Baker is an investment advisor representative with Charles Schwab & CO., Inc. Douglas has been in the securities industry since July 30, 1996. Douglas is registered with the state of California as both an Investment Advisor Representative and a Broker.

Firm Information

Douglas Baker is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Douglas Baker’s Registration & Firm History

CA

10/04/2022 - Present

Charles Schwab & CO., Inc. (Carlsbad CA)

CA

02/27/2014 - 09/01/2023

TD AMERITRADE, INC. (SAN DIEGO CA)

CA

01/04/2013 - 10/15/2013

SECURIAN FINANCIAL SERVICES, INC. (NEWPORT BEACH CA)

CA

09/18/2012 - 12/11/2012

PRUCO SECURITIES, LLC. (LOS ANGELES CA)

CA

05/07/2008 - 12/22/2010

METLIFE SECURITIES INC. (CITY OF INDUSTRY CA)

CA

05/24/1994 - 04/29/2008

AMERIPRISE FINANCIAL SERVICES, INC. (LAVERNE CA)

MN

05/24/1994 - 07/03/2006

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 03/07/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/22/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/12/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Douglas Carl Baker. Review regulatory record here.
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