Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Randy? Claim Your ProfileRandy Baker is a financial advisor with Stifel, Nicolaus & Company, Inc. Randy has been in the securities industry since 1988. Randy has a Series 6, Series 7, Series 63, and Series 66 licenses and holds registrations in multiple states. Randy has been a licensed advisor with Stifel, Nicolaus & Company, Inc. since 2020 and previously worked at Wells Fargo Advisors LLC and Wells Fargo Clearing Services, LLC. Randy provides financial planning, pension consulting, educational seminars, and portfolio management services to individuals, corporations, and other clients.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MN
01/31/2020 - Present
Stifel, Nicolaus & Company, Inc. (ROCHESTER MN)
MN
01/03/2011 - 01/23/2020
WELLS FARGO CLEARING SERVICES, LLC (ROCHESTER MN)
MN
07/12/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (ROCHESTER MN)
MO
01/27/1988 - 04/29/2003
N.I.S. FINANCIAL SERVICES, INC. (KANSAS CITY MO)
BOTH
Issued 08/10/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/05/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/2004
Series 7 - General Securities Representative Examination
BC
Issued 01/26/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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