Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Cordes Baker is an investment advisor representative at Principal Securities, Inc., with offices in Des Moines, IA and Hopkinton, MA. Samuel is a Series 6, 7, 63, and 65 licensed professional with experience in the financial services industry since July 2014. Samuel specializes in financial planning, pension consulting, and educational seminars. Samuel is registered with the Securities and Exchange Commission (SEC) and with the states of Connecticut, Maine, Maryland, Massachusetts, New Hampshire, New York, Pennsylvania, Rhode Island, Texas, Vermont, and Virginia.
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.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
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2
IA
07/26/2024 - Present
Principal Securities, Inc. (DES MOINES IA)
TX
07/12/2014 - 07/17/2023
AMERICAN FUNDS DISTRIBUTORS, INC. (SAN ANTONIO TX)
IA
Issued 08/19/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/23/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/21/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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