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 Edelman Financial Engines. James has been in the industry since 1999, previously working at Sanders Morris Harris LLC and EF Legacy Securities, LLC. James has a Series 7, Series 63, and Series 65. James is a CERTIFIED FINANCIAL PLANNER™ professional and provides financial planning, pension consulting, and portfolio management services.
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.
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.
A percentage of the total value of assets under management is charged.
Set-up fees & related svcs; reimbursements for printed materials
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2
TX
11/01/2018 - Present
Edelman Financial Engines (AUSTIN TX)
VA
04/22/2016 - 10/31/2018
EF LEGACY SECURITIES, LLC (FAIRFAX VA)
VA
12/09/2005 - 04/22/2016
SANDERS MORRIS HARRIS LLC (FAIRFAX VA)
AZ
08/14/1999 - 12/08/2005
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
IA
Issued 09/02/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/17/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/1999
Series 7 - General Securities Representative Examination
Active
Inactive
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