Rosalyn W. Baker

RW BAKER WEALTH MANAGEMENT GROUP LLC

Cheyenne, WY 82001

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CRD#: 1078293

Professional summary

Rosalyn Wallach Baker, who also goes by Rosalyn Baker, Rosalyn Wallach, Rosalyn Wallachbaker, is a registered financial advisor currently at RW BAKER WEALTH MANAGEMENT GROUP LLC located in Cheyenne, Wyoming.

Rosalyn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Rosalyn has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rosalyn Baker | Rosalyn Wallach | Rosalyn Wallachbaker

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. R.W. Baker Wealth Management Group, LLC. Investment Related. 107 W. 17th Street, Cheyenne, WY 82001. RIA. Owner. 06/2018. 160 Hrs/Mo; All During Trading Hours. Administration, Operations, Financial Planning. 2. Rotary Club of Cheyenne Endowment Fund. Investment Related. Cheyenne, WY. Endowment. Chair. 1/2006. 8 Hrs/Mo; 0 During Trading Hours. Raise Funds for Local Community Improvements. Does Not Do Any Investing.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rosalyn Wallach 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®

None

Experience

Current

June 20, 2018 - Present

RW BAKER WEALTH MANAGEMENT GROUP LLC

Office #1: 100 W. 17th Street, Cheyenne, WY 82001

RIA

CRD#: 297087

Cheyenne, WY

Past

June 21, 2018 - December 31, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Cheyenne, WY

Past

January 28, 2011 - July 5, 2018

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

CHEYENNE, WY

Past

March 2, 1998 - July 5, 2018

RBC CAPITAL MARKETS, LLC

CRD#: 31194

CHEYENNE, WY

Past

May 24, 1983 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

December 21, 1982 - May 20, 1983

BOETTCHER & COMPANY, INC.

CRD#: 101

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".

RW BAKER WEALTH MANAGEMENT GROUP LLC

R. W. BAKER WEALTH MANAGEMENT GROUP LLC | RW BAKER WEALTH MANAGEMENT GROUP LLC

CRD#: 297087 / SEC#: 801-121877

RIA

Registered Investment Advisory firm - (7/29/2021 Approved)

Arizona

Registered Investment Advisory firm - (7/29/2021 Terminated)

Colorado

Registered Investment Advisory firm - (7/30/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/29/2021 Terminated)

Wyoming

Registered Investment Advisory firm - (7/29/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(6/20/2018)

IAR

Wyoming
(6/20/2018)

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: 12/5/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/10/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/1982

General Securities Representative Examination

Current Firm

RW BAKER WEALTH MANAGEMENT GROUP LLC

R. W. BAKER WEALTH MANAGEMENT GROUP LLC | RW BAKER WEALTH MANAGEMENT GROUP LLC

CRD#: 297087 / SEC#: 801-121877

RIA

Registered Investment Advisory firm - (7/29/2021 Approved)

Arizona

Registered Investment Advisory firm - (7/29/2021 Terminated)

Colorado

Registered Investment Advisory firm - (7/30/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/29/2021 Terminated)

Wyoming

Registered Investment Advisory firm - (7/29/2021 Terminated)

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Contact information

Main Address

100 W. 17th Street, Cheyenne, WY 82001

Mailing Address

Phone number

(307) 514-4445

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	356
AUM (Assets Under Management)	$ 120,961,048

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Rosalyn W. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rosalyn Wallach Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

BOETTCHER & COMPANY, INC.

Primary Firm SEC Registration

RW BAKER WEALTH MANAGEMENT GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/2011

Series 63

Date: 1/10/1983

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/18/1982

Current Firm

RW BAKER WEALTH MANAGEMENT GROUP LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RW BAKER WEALTH MANAGEMENT GROUP LLC

TRUST BUT VERIFY

Contact information

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