Alfred J. Baker

CETERA INVESTMENT ADVISERS LLC

HEATHROW, FL 32746

Some features on this profile are disabled

CRD#: 1035089

Professional summary

Alfred James Baker, CFP®, who also goes by Al Baker, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Heathrow, Florida and CETERA WEALTH SERVICES, LLC located in Heathrow, Florida.

Alfred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Alfred has worked at 8 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

Al Baker

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.

(dba) SOLUTIONS GROUP WEALTH; Investment Related; 1275 Lake Heathrow Lane, Heathrow, FL 32746; Other; Advisor / CFP�; Start Date 02/2022; 140 hours per month with the majority of those hours per month occurring during trading hours; I work with the firm as one of several advisors offering advisory services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfred James Baker's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1990

Experience

Current

February 6, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1275 Heathrow Lane, Heathrow, FL 32746

RIA

CRD#: 105644

HEATHROW, FL

Current

February 4, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1275 Lake Heathrow Lane, Heathrow, FL 32746

CRD#: 13572

Heathrow, FL

Past

February 4, 2025 - February 5, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SCHAUMBURG, IL

Past

April 5, 2016 - February 21, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Heathrow, FL

Past

April 4, 2016 - February 21, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Heathrow, FL

Past

December 2, 1998 - April 8, 2016

MOMENTUM INDEPENDENT NETWORK INC.

RIA

CRD#: 17587

WINTER PARK, FL

Past

December 2, 1998 - April 8, 2016

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

WINTER PARK, FL

Past

May 31, 1996 - December 9, 1998

G. A. REPPLE & COMPANY

CRD#: 17486

CASSELBERRY, FL

Past

April 30, 1982 - January 3, 1989

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

Past

April 30, 1982 - June 24, 1996

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

April 30, 1982 - June 24, 1996

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Colorado
(3/7/2025)

Florida
(2/4/2025)

IAR

Florida
(2/6/2025)

Michigan
(3/7/2025)

North Carolina
(2/21/2025)

Pennsylvania
(3/7/2025)

Texas
(3/7/2025)

IAR

Texas
(3/7/2025)

Virginia
(3/7/2025)

Wisconsin
(3/7/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 4/22/1997

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 8/16/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 4/29/1982

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Amanda Henevoy

EDWARD JONES

IAR

Corvallis, OR

Brian Mckinney

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Glenn Blachman

SUMMIT FINANCIAL, LLC

IAR

TOMS RIVER, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alfred J. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfred James Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA INVESTMENT ADVISERS LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

G. A. REPPLE & COMPANY

LINCOLN NATIONAL PENSION INSURANCE COMPANY

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/1999

Series 63

Date: 3/2/1984

SIE

Date: 10/1/2018

Series 62

Date: 4/22/1997

Series 22

Date: 8/16/1984

Series 6

Date: 4/29/1982

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors