Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Michael Baker is an investment advisor representative at Commonwealth Financial Network. Richard has been in the financial industry since 1984 and has a broad range of experience, including providing financial planning and portfolio management services. Richard is also a registered investment advisor representative in Massachusetts. Previously, Richard was registered with Royal Alliance Associates, Inc., Walnut Street Securities, Inc., Nathan & Lewis Securities, Inc., Dean Witter Reynolds Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and other financial institutions.
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
MA
10/27/2006 - Present
Commonwealth Financial Network (AGAWAM MA)
MA
11/09/2004 - 10/27/2006
ROYAL ALLIANCE ASSOCIATES, INC. (SPRINGFIELD MA)
CA
08/01/2003 - 11/12/2004
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
NY
10/15/1990 - 08/01/2003
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
NA
02/05/1988 - 10/15/1990
DEAN WITTER REYNOLDS INC.
NY
06/20/1984 - 10/15/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
09/02/1986 - 01/22/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 05/25/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/21/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/05/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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