Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Baker is a financial advisor at Wells Fargo Clearing Services, LLC. Thomas has been working in the financial industry since 1989 and has a Series 7, Series 31, and Series 63 licenses. Thomas also holds a Series 65 license, making him a registered investment advisor. Thomas has worked for several financial institutions, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, and First Union Capital Markets Corp. Thomas is currently registered in 12 states and specializes in portfolio management for individuals and businesses.
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.
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.
Investment consulting services to institutional clients
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
OH
01/04/2000 - Present
Wells Fargo Clearing Services, LLC (CANFIELD OH)
NC
10/18/1996 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
02/14/1989 - 11/01/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 04/25/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/11/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Thomas Baker is the right advisor for you? Invested Better is here to help.
