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James Curtis Baker

Fifth Third Securities, Inc.

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About James Curtis Baker

James Curtis Baker is a financial advisor at Fifth Third Securities, Inc. with over 16 years of experience in the financial services industry. James has been registered with the state of North Carolina since September 2012. James has Series 66, Series 7, Series 79 and SIE licenses. James also holds the Uniform Combined State Law Examination. Prior to joining Fifth Third Securities, Inc. James was registered with Scott & Stringfellow, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

James Baker is currently registered with Fifth Third Securities, Inc.. Fifth Third Securities, Inc. is a corporation headquartered in Cincinnati, Ohio. Founded in 1925, the firm offers a variety of advisory services, including financial planning, portfolio management for individuals and businesses, and selection of other advisors. Fifth Third Securities, Inc. manages over $7.9 billion in assets for a diverse range of clients including individuals, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. The firm also participates in a wrap fee program.
Fifth Third Securities, Inc.

201 N TRYON ST

CHARLOTTE, NC 28202

$7.98B

Assets Under Management

Not reported

Total Clients

1,080

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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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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sponsor wrap fee program

Sponsor wrap fee 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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percentage of assets

A percentage of the total value of assets under management is charged.

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James Baker’s Registration & Firm History

NC

09/18/2012 - Present

Fifth Third Securities, Inc. (CHARLOTTE NC)

VA

03/01/2007 - 05/01/2012

SCOTT & STRINGFELLOW, LLC (RICHMOND VA)

NC

01/13/2006 - 02/06/2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DURHAM NC)

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Licenses & Designations

BOTH

Issued 2/14/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 1/22/2013

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 1/12/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Curtis Baker.
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