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James Philip Baker

Piper Sandler & Co.

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About James Philip Baker

James Philip Baker is a financial professional with over 20 years of experience in the industry. James is currently registered with Piper Sandler & Co. and is licensed in 33 states. James holds multiple licenses, including Series 7, 63, 62, 24, and 79, and is a principal at Piper Sandler & Co. Prior to joining Piper Sandler & Co., James was a registered representative at Simmons & Company International. James specializes in portfolio management for businesses.

Firm Information

James Baker is currently registered with Piper Sandler & Co.. Piper Sandler & Co. is a corporation headquartered in Minneapolis, Minnesota, that was formed on July 28, 1969. The firm provides analytical reports and public finance consulting program services, and manages portfolios for businesses. The firm has a total of 1,359 registered representatives and 24 investment adviser representatives, and manages approximately $1 billion to $10 billion in assets.
Piper Sandler & Co.

800 NICOLLET MALL

MINNEAPOLIS, MN 55402-7020

$1.58B

Assets Under Management

21

Total Clients

809

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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portfolio management for businesses

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

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analytical reports/public finance consulting program

Analytical reports/public finance consulting 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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commissions

Earned based on transactions or products sold.

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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

TX

02/26/2016 - Present

Piper Sandler & Co. (HOUSTON TX)

TX

03/27/2001 - 02/26/2016

SIMMONS & COMPANY INTERNATIONAL (HOUSTON TX)

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Licenses & Designations

BC

Issued 04/02/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/11/2005

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/26/2001

Series 62 - Corporate Securities Limited 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 Philip Baker.
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