Bonnie L. Baker
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.
Bonnie Lee Baker, who also goes by Bonnie L Baker, Bonnie Baker Nesbit, was a registered financial professional .
Bonnie is a previously registered financial professional and started their career in finance in 1983. Bonnie had worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2014 - March 30, 2016
STRATEGIC ADVISERS LLC
July 10, 2014 - March 29, 2016
FIDELITY BROKERAGE SERVICES LLC
December 18, 2012 - March 15, 2014
OSAIC FA, INC.
December 13, 2012 - March 15, 2014
OSAIC FA, INC.
January 3, 2012 - December 31, 2012
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 28, 2011 - December 31, 2011
OSAIC FA, INC.
January 28, 2011 - December 31, 2011
OSAIC FA, INC.
June 1, 2009 - July 12, 2010
MORGAN STANLEY
June 1, 2009 - July 12, 2010
MORGAN STANLEY
December 1, 2005 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
December 1, 2005 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
November 29, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 23, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 6, 2004 - November 8, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 1998 - November 8, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 1997 - August 31, 1998
LOCKWOOD FINANCIAL SERVICES, INC.
June 24, 1993 - May 20, 1997
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
September 28, 1992 - June 24, 1993
SELIGMAN SECURITIES, INC.
July 15, 1986 - August 11, 1992
PRUDENTIAL EQUITY GROUP, LLC
January 25, 1985 - June 20, 1986
INVEST FINANCIAL CORPORATION
April 4, 1984 - December 5, 1984
LEHMAN BROTHERS INC.
March 23, 1983 - March 13, 1984
INVEST FINANCIAL CORPORATION
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
