BB
Bruce J. Baker
CETERA INVESTMENT ADVISERS LLC
CINCINNATI, OH 45242
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CRD#: 1033893
BB
Professional summary
Bruce Jay Baker, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cincinnati, Ohio and CETERA ADVISORS LLC located in Cincinnati, Ohio.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Bruce has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) NAME OF OTHER BUSINESS: FREEMAN HEYNE TOMA FINANCIAL ADVISORS ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL PLANNING AND INVESTMENT SERVICES ; START DATE: 10/2020 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: MEET WITH CLIENT AND PROVIDE ADVICE AND MANAGEMENT REGARDING THEIR FINANCIAL & INVESTMENT NEEDS ; (2) NAME OF OTHER BUSINESS: ROEDING GROUP COMPANIES DBA ROEDING INSURANCE ; INVESTMENT RELATED: NO ADDRESS: 2734 CHANCELLOR DR, SUITE 301, CRESTVIEW HILLS, KY 41017 ; NATURE OF BUSINESS: INSURANCE ; START DATE: 10/2020 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; APX NUMBER OF HOURS PER WEEK: 5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5 ; BRIEF DESCRIPTION OF DUTIES: SERVICE EXISTING BLOCK OF CLIENTS WITH VARIOUS FIXED INSURANCE PRODUCTS ; (3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2020 APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, PROPERTY & CASUALTY AND LONG TERM CARE (4) NAME OF OTHER BUSINESS: FHT ADVISORS ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Jay Baker's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10250 Alliance Rd Ste 125, Cincinnati, OH 45242RIA
CRD#: 105644
CINCINNATI, OH
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 10250 Alliance Rd Ste 125, Cincinnati, OH 45242BD
CRD#: 10299
Cincinnati, OH
Past
June 24, 2004 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
CRESTVIEW HILLS, KY
Past
January 2, 1988 - March 7, 2002
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
April 18, 1983 - January 1, 2004
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
December 10, 1982 - June 1, 1983
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Past
November 2, 1982 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/1/2004)
RR
California(7/17/2007)
RR
Colorado(1/6/2023)
RR
Connecticut(1/3/2011)
RR
Florida(1/1/2004)
RR
Georgia(1/2/2015)
IAR
Georgia(3/21/2024)
RR
Illinois(1/1/2004)
RR
Indiana(1/1/2004)
RR
Iowa(9/3/2008)
RR
Kentucky(1/1/2004)
RR
Maryland(5/9/2018)
RR
Michigan(1/5/2010)
RR
Missouri(1/2/2025)
RR
New Jersey(7/26/2004)
RR
New York(6/27/2016)
RR
North Carolina(9/16/2021)
RR
Ohio(1/1/2004)
IAR
Ohio(3/21/2024)
RR
Oregon(3/9/2022)
RR
South Carolina(1/1/2004)
RR
Texas(8/21/2013)
IAR
Texas(3/21/2024)
RR
Virginia(8/18/2025)
RR
Wisconsin(4/12/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/11/1994
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Cincinnati, OH 45242TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
