linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

James Harrison Baker

Morgan Stanley

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

About James Harrison Baker

James Harrison Baker is a financial advisor with Morgan Stanley. James has been in the financial services industry for over 37 years. James is registered to provide investment advice in 32 states and the District of Columbia. Prior to joining Morgan Stanley, James was a financial advisor with Citigroup Global Markets Inc. James holds Series 3, 7, 9, 10, 31, 63 and 65 licenses and is a registered principal. James is a registered Investment Advisor Representative in Iowa and Texas.

Firm Information

James Baker is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

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.

check

financial planning services

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

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

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

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

portfolio management for investment companies

Strategic management for diversified investment portfolios.

check

asset allocation advice

Asset allocation advice

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.

check

fixed fees

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

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

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

check

performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

check

other

See schedule d miscellaneous

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.

James Baker’s Registration & Firm History

IA

03/19/2020 - Present

Morgan Stanley (West Des Moines IA)

IA

11/19/2004 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (DES MOINES IA)

CA

03/22/2002 - 11/23/2004

WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)

NY

05/21/1999 - 05/14/2002

RBC DAIN RAUSCHER INC. (NEW YORK NY)

NY

07/31/1993 - 05/26/1999

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

12/09/1991 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

MN

10/02/1985 - 11/22/1991

BANKERS SYSTEMS BROKERAGE SERVICES, INC. (ST. CLOUD MN)

Not sure if James Harrison Baker is right for you?

Licenses & Designations

IA

Issued 02/23/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/20/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/02/1999

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 09/02/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/07/2011

Series 31 - Futures Managed Funds Examination

BC

Issued 12/20/2000

Series 3 - National Commodity Futures Examination

BC

Issued 08/17/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for James Harrison Baker.
Not sure if James Harrison Baker is right for you?