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Richard Andrew Baker

Vanguard Advisers, Inc.

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About Richard Andrew Baker

Richard Baker is a financial advisor with Vanguard Advisers, Inc. located in Malvern, Pennsylvania. Richard has been in the industry since 1986 and has extensive experience in financial planning, portfolio management for businesses and individuals, and selection of other advisors. Richard has Series 7, 9, 63 and 66 registrations.

Firm Information

Richard Baker is currently registered with Vanguard Advisers, Inc.. Vanguard Advisers, Inc. is a registered investment advisor headquartered in Malvern, Pennsylvania. With a focus on portfolio management for individuals, businesses, and pooled investment vehicles, the firm offers comprehensive financial planning services and specializes in selecting other advisors. Vanguard Advisers manages over $333 billion in assets for clients, including high-net-worth individuals, charitable organizations, and pension and profit-sharing plans. The firm has a strong online presence, with active profiles on LinkedIn, Facebook, Instagram, YouTube, Reddit, and Twitter.
Vanguard Advisers, Inc.

100 VANGUARD BLVD

MALVERN, PA 19355

$333.07B

Assets Under Management

151,862

Total Clients

2,326

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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financial planning services

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

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selection of other advisors

Helps you choose top advisors aligned with your 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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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

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

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Richard Baker’s Registration & Firm History

PA

07/01/2021 - Present

Vanguard Advisers, Inc. (MALVERN PA)

MO

10/03/2003 - 06/11/2004

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

10/09/2002 - 10/08/2003

HSBC BROKERAGE (USA) INC. (NEW YORK NY)

NY

07/16/1999 - 10/04/2002

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

10/25/1996 - 07/19/1999

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NJ

07/29/1994 - 11/04/1996

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

04/02/1987 - 08/05/1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NA

09/24/1986 - 01/09/1987

THE STUART-JAMES COMPANY, INC.

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Licenses & Designations

BOTH

Issued 06/30/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/29/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/18/2003

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/16/2021

Series 7TO - General Securities Representative Examination

BC

Issued 02/15/2019

SIE - Securities Industry Essentials Examination

BC

Issued 09/20/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Richard Andrew Baker. Review regulatory record here.
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