Joel R. Baker

THE J R BAKER GROUP

Buellton, CA

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CRD#: 1121345

Professional summary

Joel Robert Baker is a registered financial advisor currently at THE J R BAKER GROUP located in Buellton, California.

Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Joel has worked at 9 firms and has passed the Series 63, SIE and Series 7 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.

#1 - CIRCLE JB POLO RANCH, LLC (FORMERLY THE PRIVATE CONSULTING GROUP, LLC)START DATE: 1/5/99, MANAGER & MEMBER - P.O. Box 66, Buellton, CA 93427, NOT INVESTMENT RELATED, PROFESSIONAL POLO AND HORSE RANCH - 99% OWNERSHIP-TIME SPENT 20% - METHOD OF COMPENSATION-FEES. #2- THE J R BAKER GROUP, LLC START DATE: 9/1996-PO BOX 66 BUELLTON, CA-INVESTMENT ADVISOR-INVESTMENTS, ESTATE PLANNING, INSURANCE - 75% DIRECT OWNERSHIP, 24% JRBG TRUST OWNERSHIP, 1% BAKER ALASKA,LLC OWNERSHIP - INVESTMENT RELATED-TIME SPENT 20 HOURS PER WEEK - FEES/COMMISSIONS. MR. BAKER SERVES AS TRUSTEE ON JRBG TRUST, LLC AND MANAGER FOR BAKER ALASKA,LLC #4-JRB POLO RANCH, LLC, START DATE: 09/2002-P.O. Box 66, Buellton, CA 93427-NOT INVESTMENT RELATED - MANAGER AND 99% OWNER - LLC OWNS JOEL'S RANCH PROPERTY - TIME SPENT 0%. #5-JRB COMMERCIAL, LLC -START DATE: 02/2008-PO BOX 66 BUELLTON, CA- MANAGER AND 99% OWNER - LLC OWNS 2.2 ACRES THAT IS ADJACENT TO THE JRB POLO RANCH, LLC PROPERTY-1-20% TIME SPENT. #6-JOEL BAKER LIFE INSURANCE-LIFE INSURANCE SALES- PO BOX 66 BUELLTON, CA- SOLE PROPRIERTOR-21-40%- INVESTMENT RELATED #6- BAKER ALASKA, LLC, START: 12/31/2001, PO BOX 66 BUELLTON, CA 93427, INVESTMENT HOLDINGS COMPANY, MANAGER, NOT INVESTMENT RELATED, <1 HOUR PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. #7- UNITED STATES POLO ASSOCIATION, START: 01/2013,9011 LAKE WORTH RD. LAKE WORKTH, FL 33467, CORPORATION, POLO COACH, NOT INVESTMENT RELATED, HOURS VARY PER MONTH DEPENDING ON WHEN EVENTS ARE TAKING PLACE, USUALLY A 2-3 TIMES PER YEAR, 0 HOURS PER DAY DURING TRADING HOURS UNLESS DURING A POLO MATCH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Robert 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 25, 2017 - Present

THE J R BAKER GROUP

RIA

CRD#: 132931

Buellton, CA

Past

June 5, 2013 - December 23, 2014

MUTUAL SECURITIES, INC.

CRD#: 13092

BUELLTON, CA

Past

December 19, 2008 - May 1, 2013

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856

BUELLTON, CA

Past

December 22, 2000 - June 25, 2008

PRIVATE CONSULTING GROUP, INC.

CRD#: 45053

BUELLTON, CA

Past

July 10, 2000 - December 24, 2008

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

BUELLTON, CA

Past

October 1, 1999 - July 10, 2000

PRIVATE CONSULTING GROUP, INC.

CRD#: 45053

PORTLAND, OR

Past

June 16, 1999 - June 25, 2008

PRIVATE CONSULTING GROUP, INC.

RIA

CRD#: 45053

BUELLTON, CA

Past

May 21, 1998 - December 31, 2016

THE J R BAKER GROUP

RIA

CRD#: 132931

BUELLTON, CA

Past

October 5, 1995 - November 9, 1999

SANTA FE SECURITIES CORP.

CRD#: 31491

SOLANA BEACH, CA

Past

February 16, 1994 - August 30, 1995

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

November 1, 1984 - December 31, 1992

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

May 23, 1984 - November 27, 1984

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

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

California
(1/25/2017)

IAR

Texas
(5/3/2023)

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

Series 63

Date: 6/27/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/23/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Current Firm

THE J R BAKER GROUP

FFR FINANCIAL & INSURANCE SERVICES LLC | THE J R BAKER GROUP LLC | THE J R BAKER GROUP | J R BAKER GROUP

CRD#: 132931 / SEC#: 801-69427

RIA

Registered Investment Advisory firm - (8/24/2012 Terminated)

California

Registered Investment Advisory firm - (1/25/2017 Approved)

Texas

Registered Investment Advisory firm - (5/3/2023 Conditional Restricted)

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).

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Contact information

Main Address

Buellton, CA

Mailing Address

Po Box 66, Buellton, CA 93427

Phone number

(805) 688-8562

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	89
AUM (Assets Under Management)	$ 33,617,047

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

Joel R. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Robert Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL SECURITIES, INC.

ARETE WEALTH MANAGEMENT, LLC

PRIVATE CONSULTING GROUP, INC.

KESTRA INVESTMENT SERVICES, LLC

PRIVATE CONSULTING GROUP, INC.

PRIVATE CONSULTING GROUP, INC.

THE J R BAKER GROUP

SANTA FE SECURITIES CORP.

FSC SECURITIES CORPORATION

CETERA WEALTH SERVICES, LLC

TITAN/VALUE EQUITIES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/1984

SIE

Date: 12/23/2014

Series 7

Date: 5/19/1984

Current Firm

THE J R BAKER GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE J R BAKER GROUP

TRUST BUT VERIFY

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