Frederick L. Baker

FINSER INVESTMENT ADVISOR

SAN ANTONIO, TX 78205

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CRD#: 10692

Professional summary

Frederick Lynn Baker is a registered financial advisor currently at FINSER INVESTMENT ADVISOR located in San Antonio, Texas.

Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1968. Frederick has worked at 13 firms and has passed the Series 65, SIE, Series 1 and Series 00 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.

FINSER INVESTMENT ADVISORS 106 S. ST. MARY'S, 6TH FLOOR SAN ANTONIO, TX 78205 INVESTMENT RELATED: BANK CONSULTANT AND SERVICE PROVIDER. CHAIRMAN. JULY 1981 TO PRESENT. 40 HOURS A MONTH. F.L. BAKER AND ASSOC., HOLDING COMPANY FOR FINSER ADVISORS. CHAIRMAN.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Lynn 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®

None

Experience

Current

January 26, 2007 - Present

FINSER INVESTMENT ADVISOR

Office #1: 106 S. St. Marys Street Suite 600, San Antonio, TX 78205

RIA

CRD#: 142570

SAN ANTONIO, TX

Past

October 19, 2005 - December 9, 2014

SAMCO CAPITAL MARKETS, INC.

CRD#: 136532

SAN ANTONIO, TX

Past

October 4, 2004 - October 31, 2006

SAMCO FINANCIAL ADVISORS, INC.

RIA

CRD#: 112544

SAN ANTONIO, TX

Past

February 3, 2003 - May 19, 2006

PENSON FINANCIAL SERVICES, INC.

CRD#: 25866

DALLAS, TX

Past

August 24, 2001 - February 3, 2003

SERVICE ASSET MANAGEMENT COMPANY

CRD#: 47157

AUSTIN, TX

Past

December 15, 1995 - September 1, 2000

PENSON FINANCIAL SERVICES, INC.

CRD#: 25866

DALLAS, TX

Past

July 15, 1991 - December 15, 1995

SERVICE ASSET MANAGEMENT COMPANY

CRD#: 18577

Past

July 25, 1984 - July 23, 1991

FINSER INVESTMENT COMPANY

CRD#: 14981

Past

September 22, 1980 - October 31, 1983

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

April 30, 1976 - February 5, 1981

FRED BAKER & ASSOCIATES, INC.

CRD#: 7133

Past

August 8, 1975 - February 3, 1976

RUSS SECURITIES CORPORATION

CRD#: 6893

Past

December 21, 1972 - July 11, 1973

RUSS & COMPANY

CRD#: 1000003

Past

February 1, 1971 - January 19, 1973

DOMIK CORP.

CRD#: 223

Past

September 3, 1968 - May 10, 1971

DITTMAR & COMPANY, INC.

CRD#: 220

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".

FINSER INVESTMENT ADVISOR

CRD#: 142570 / SEC#: 801-67528

RIA

Registered Investment Advisory firm - (1/26/2007 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.

Highlighted states indicate IAR registrations

IAR

Texas
(1/26/2007)

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: 1/8/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/9/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 11/24/1967

Registered Representative Examination

Principal/Supervisory Exam

Series 00

Date: 11/1/1975

General Securities Principal Examination

Current Firm

FINSER INVESTMENT ADVISOR

CRD#: 142570 / SEC#: 801-67528

RIA

Registered Investment Advisory firm - (1/26/2007 Approved)

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Contact information

Main Address

9601 Mcallister Fwy, Suite 301, San Antonio, TX 78216-4633

Mailing Address

Phone number

(210) 224-5492

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FINSER INVESTMENT ADVISORS, INCE (8/25/2025)

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 1,416,901,328

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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Advisor Monitoring

Firm Stability Insights

Frederick L. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Lynn Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAMCO CAPITAL MARKETS, INC.

SAMCO FINANCIAL ADVISORS, INC.

PENSON FINANCIAL SERVICES, INC.

SERVICE ASSET MANAGEMENT COMPANY

PENSON FINANCIAL SERVICES, INC.

SERVICE ASSET MANAGEMENT COMPANY

FINSER INVESTMENT COMPANY

KIDDER, PEABODY & CO. INCORPORATED

FRED BAKER & ASSOCIATES, INC.

RUSS SECURITIES CORPORATION

RUSS & COMPANY

DOMIK CORP.

DITTMAR & COMPANY, INC.

Primary Firm SEC Registration

FINSER INVESTMENT ADVISOR

State Registrations and Notice Filings

Exams

Series 65

Date: 1/8/2003

SIE

Date: 12/9/2014

Series 1

Date: 11/24/1967

Series 00

Date: 11/1/1975

Current Firm

FINSER INVESTMENT ADVISOR

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINSER INVESTMENT ADVISOR

TRUST BUT VERIFY

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