Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Baker is a financial advisor at Stifel, Nicolaus & Company, Inc. with over 30 years of experience in the financial industry. Richard has held positions with several other firms including Thomas Weisel Partners LLC and Paine Webber Incorporated. Richard holds multiple licenses and registrations including Series 4, 7, 24, and 63. Richard is currently registered to provide investment advice in 26 states and specializes in a wide range of financial services, including financial planning, portfolio management, and pension consulting.
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
CA
07/10/2010 - Present
Stifel, Nicolaus & Company, Inc. (SAN FRANCISCO CA)
CA
06/21/1999 - 07/20/2010
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NJ
01/28/1995 - 07/14/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/19/1992 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
06/09/1987 - 07/05/1991
EXECUTION SERVICES INCORPORATED (NEW YORK NY)
BC
Issued 08/09/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/02/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/26/1989
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/1987
Series 7 - General Securities 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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