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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Witt Baker is a financial advisor with over 30 years of experience in the financial services industry. He currently works as a Registered Representative for Stifel Independent Advisors, LLC in Fredericksburg, VA. Prior to joining Stifel Independent Advisors, Thomas worked for Stiefel, Nicolaus & Company, Incorporated, UBS Financial Services Inc, Citigroup Global Markets Inc, Legg Mason Wood Walker, Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Edward D. Jones & Co., L.P., Olde Discount Corporation, Smith Barney, Harris Upham & Co., Incorporated, Salomon Brothers Inc, and Weaver Johnson & Company,Inc. Thomas is a Series 7, Series 9, Series 10, Series 31, Series 52, Series 63 and Series 65 licensed professional. Thomas offers a variety of financial services, including portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars.
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.
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2
VA
07/26/2024 - Present
Stifel Independent Advisors, LLC (FREDERICKSBURG VA)
VA
01/03/2017 - 07/25/2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED (FREDERICKSBURG VA)
FL
10/31/2008 - 01/11/2017
UBS FINANCIAL SERVICES INC. (TAMPA FL)
FL
02/21/2006 - 11/18/2008
CITIGROUP GLOBAL MARKETS INC. (TAMPA FL)
FL
06/20/2003 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (TAMPA FL)
NY
01/04/1999 - 06/24/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
12/20/1995 - 01/04/1999
EDWARD D. JONES & CO., L.P. (ST. LOUIS MO)
MI
09/18/1995 - 12/07/1995
OLDE DISCOUNT CORPORATION (DETROIT MI)
NA
09/09/1988 - 01/18/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
05/10/1985 - 05/11/1988
SALOMON BROTHERS INC.
NA
03/23/1985 - 04/29/1985
WEAVER JOHNSON & COMPANY,INC.
IA
Issued 07/28/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/05/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/14/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/04/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 11/29/1995
Series 7 - General Securities Representative Examination
BC
Issued 08/30/1995
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
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