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Raymond James Baker

Northwestern Mutual Investment Services, LLC

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About Raymond James Baker

Raymond James Baker is a financial advisor with Northwestern Mutual Investment Services, LLC. Raymond has been in the financial services industry since June 23, 1987 and has a wide range of experience in the industry. Raymond is licensed to provide investment advice in Indiana, Kentucky and Ohio. Raymond has held previous positions at Robert W. Baird & Co. Incorporated, Lehman Brothers Inc., and E. F. Hutton & Company Inc. Raymond holds multiple securities licenses, including Series 3, 7, 8, 9, 10, 63 and 65.

Firm Information

Raymond Baker is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

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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investment research; referrals to other advisers

Investment research; referrals to other advisers

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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other

Referral fees

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Raymond Baker’s Registration & Firm History

OH

02/18/1992 - Present

Northwestern Mutual Investment Services, LLC (CINCINNATI OH)

WI

01/31/1992 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

NY

02/15/1988 - 02/25/1992

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

06/24/1987 - 02/15/1988

E. F. HUTTON & COMPANY INC

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Licenses & Designations

IA

Issued 12/28/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/14/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 04/10/1992

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/07/1987

Series 3 - National Commodity Futures Examination

BC

Issued 06/20/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Raymond James Baker.
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