Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Baker is a financial advisor with LPL Financial LLC. James has been in the financial services industry since 2002. James has experience working with individuals, families, businesses, and non-profit organizations. James is registered with the state of Texas as a Registered Investment Advisor. James specializes in providing financial planning, investment management, and retirement planning services. Previously, James worked with First Allied Securities, Inc. and New England Securities. James is committed to providing personalized financial advice to help clients achieve their financial goals.
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
TX
12/04/2020 - Present
LPL Financial LLC (AUSTIN TX)
TX
11/03/2014 - 11/30/2020
FIRST ALLIED SECURITIES, INC. (AUSTIN TX)
TX
05/11/2011 - 11/10/2014
NEW ENGLAND SECURITIES (AUSTIN TX)
IN
02/22/2002 - 12/31/2003
JEFFERSON PILOT SECURITIES CORPORATION (FORT WAYNE IN)
NY
02/14/1995 - 03/05/2002
NEW ENGLAND SECURITIES (NEW YORK NY)
BOTH
Issued 05/17/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/21/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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