Glendell M. Baker

OSAIC WEALTH

FRISCO, TX 75034

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CRD#: 1149466

Professional summary

Glendell Mack Baker, who also goes by Glendell M Baker, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Frisco, Texas.

Glendell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Glendell has worked at 6 firms and has passed the Series 63, SIE and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Glendell M 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.

1) EQUITY INDEXED ANNUITY PRODUCTS AND SALES 2) S.W.A.T. / SPORTS WORLD AGAINST TRAFFICKING POSITION: Advisory Council Member NATURE: 501(3)C Non-Profit Organization INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 2 START DATE: 09/03/2019 ADDRESS: 7901 4th Street North, #300, St. Petersburg FL 33701 DESCRIPTION: Attend meetings occasionally. Help promote S.W.A.T. in its mission to fight human trafficking. 3) NORTON LIFELOCK POSITION: Broker/Sales Rep NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 06/15/2015 ADDRESS: 60 East Rio Salado Pkwy, Suite 1000, Tempe AZ 85281 DESCRIPTION: Contacting HR at companies and offering Norton LifeLock protection as a business solution to all employees on a voluntary basis or 100% paid by employer. Identity theft is a real risk in today's market. 4) GLEN BAKER INSURANCE AGENCY POSITION: Insurance Agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 09/01/1973 ADDRESS: 8380 Warren Pkwy, #303, Frisco TX 75034 DESCRIPTION: Sales/marketing of fixed annuities and non-variable insurance. 5) GLEN BAKER INSURANCE AGENCY POSITION: Financial Advisor NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/01/1973 ADDRESS: 8380 Warren Pkwy, #303, Frisco TX 75034 DESCRIPTION: Sales/marketing of securities, investment advisory and insurance products. 6) EPOQ/LAWASSURE POSITION: Broker NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 08/08/2017 ADDRESS: 82 Wendell Avenue, #100, Pittsfield MA 01201 DESCRIPTION: Broker/Sales of services of EPOQ / Law Assure to individuals, business, and employer groups. 7) IDENTITY GUARDIANS POSITION: Broker NATURE: Unknown INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 07/14/2017 ADDRESS: 7630 Plaza Court, Ste. 400, Willowbrook IL 60527 DESCRIPTION: Broker/Sales of Identity Guardians services of identity theft restoration and recovery services. 8) CHAPLAINCY MINISTRIES, INC. POSITION: Board Member NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2009 ADDRESS: 7777 Forest Ln., Dallas TX 75230 DESCRIPTION: As a Board member, I attend monthly Board meetings and also provide input on the Chaplaincy annual golf tournaments. 9) KRICKEN LAW TRUST POSITION: Referral NATURE: He is an attorney that creates trust for my clients when needed. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2025 ADDRESS: 4261 E. University Dr., Suite 30-261, Prosper TX 75078 DESCRIPTION: Referrals only.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glendell Mack Baker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Glendell Mack 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

November 2, 2018 - Present

OSAIC WEALTH, INC.

Office #1: 8380 Warren Parkway Suite 303, Frisco, TX 75034

RIA

CRD#: 23131

FRISCO, TX

Current

November 2, 2018 - Present

OSAIC WEALTH, INC.

Office #1: 8380 Warren Parkway Suite 303, Frisco, TX 75034

RIA

CRD#: 23131

FRISCO, TX

Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

PLANO, TX

Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

PLANO, TX

Past

September 4, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

FRISCO, TX

Past

September 4, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

FRISCO, TX

Past

May 20, 2002 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA

CRD#: 3600

DALLAS, TX

Past

December 9, 1997 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

DALLAS, TX

Past

October 15, 1993 - December 9, 1997

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

June 19, 1983 - October 15, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(11/2/2018)

Alaska
(11/2/2018)

Arizona
(11/2/2018)

Arkansas
(2/2/2024)

California
(11/2/2018)

Colorado
(11/2/2018)

Connecticut
(11/2/2018)

Delaware
(11/2/2018)

Florida
(11/2/2018)

Georgia
(11/2/2018)

Idaho
(11/2/2018)

Illinois
(11/2/2018)

Indiana
(11/2/2018)

Kansas
(11/2/2018)

Kentucky
(11/2/2018)

Louisiana
(11/2/2018)

Maine
(11/2/2018)

Maryland
(11/2/2018)

Massachusetts
(11/2/2018)

Michigan
(1/29/2024)

Mississippi
(11/2/2018)

Missouri
(11/2/2018)

New Jersey
(11/2/2018)

New Mexico
(11/2/2018)

New York
(11/2/2018)

North Carolina
(11/2/2018)

Ohio
(11/2/2018)

Oklahoma
(11/2/2018)

Oregon
(11/2/2018)

Pennsylvania
(11/2/2018)

South Carolina
(11/2/2018)

Tennessee
(11/2/2018)

Texas
(11/2/2018)

IAR

Texas
(11/2/2018)

Utah
(11/2/2018)

Virginia
(11/2/2018)

Washington
(11/2/2018)

West Virginia
(1/30/2024)

Wisconsin
(1/25/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/29/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 2

Date: 6/26/1974

Non-Member General Securities Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	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

Glendell M. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glendell Mack Baker's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Glendell Mack Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL PARTNERS, LLC

AETNA LIFE INSURANCE AND ANNUITY COMPANY

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/29/1998

SIE

Date: 10/1/2018

Series 2

Date: 6/26/1974

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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