Donald B. Baker

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CRD#: 10636

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Donald Brien Baker, who also goes by Donald Brian Baker, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1969. Donald had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Donald Brian 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.

BAKER GROUP - POSITION: Owner NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2012 ADDRESS: 26400 Lahser, Suite 312, Southfield MI 48033, United States DESCRIPTION: We do insurance sales, estate planning, retirement, insurance planning and general business consulting KESTRA ADVISORY SERVICES, LLC - POSITION: Investment Advisor Representative NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 04/04/2016 ADDRESS: 5707 southwest pkwy,, BLDG 2, suite 400, Austin TX 78735, United States DESCRIPTION: Investment Advisory Services

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 27, 2016 - June 27, 2023

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

NORTH PALM BEACH, FL

Past

June 4, 2010 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

SOUTHFIELD, MI

Past

July 24, 2002 - June 27, 2023

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

SOUTHFIELD, MI

Past

April 17, 1997 - August 6, 2002

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

December 10, 1982 - April 10, 1997

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 21, 1970 - August 13, 1972

MULTIVEST SEC INC

CRD#: 1000001

Past

August 5, 1969 - January 2, 1988

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/10/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/18/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 7/31/1969

Registered Representative Examination

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	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.

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Firm Stability Insights

Donald B. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

VESTAX SECURITIES CORPORATION

MML INVESTORS SERVICES, LLC

MULTIVEST SEC INC

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/2010

Series 63

Date: 1/18/1983

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 7/31/1969

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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