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James Baker

Cetera Advisors LLC

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About James Baker

James Baker is a financial advisor with over 12 years of experience in the financial services industry. James is currently registered with Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Advisor Networks LLC and Cetera Investment Services LLC. James holds several licenses and certifications including Series 3, 7, 9, 10, 31, 66 and SIE. James has previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney, and Morgan Stanley & Co. Incorporated.

Firm Information

James Baker is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

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.

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James Baker’s Registration & Firm History

CA

02/24/2021 - Present

Cetera Advisors LLC (EL SEGUNDO CA)

CA

02/24/2021 - 09/08/2022

FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)

CO

10/28/2010 - 04/05/2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENWOOD VILLAGE CO)

CO

06/01/2009 - 11/18/2010

MORGAN STANLEY SMITH BARNEY (DENVER CO)

CO

07/26/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (DENVER CO)

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Licenses & Designations

BOTH

Issued 08/20/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/27/2014

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/22/2014

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 04/05/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/06/2015

Series 3 - National Commodity Futures Examination

BC

Issued 09/06/2007

Series 31 - Futures Managed Funds Examination

BC

Issued 07/25/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Baker.
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