Barry A. Baker

INDEPENDENT INVESTMENT BANKERS,

San Diego, CA

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CRD#: 1300785

Professional summary

Barry Alan Baker is a registered financial professional currently at INDEPENDENT INVESTMENT BANKERS, CORP. located in San Diego, California.

Barry is registered as a RR (Registered Representative) and started their career in finance in 1990. Barry has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Barry Alan 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

December 28, 2018 - Present

INDEPENDENT INVESTMENT BANKERS, CORP.

RIA

CRD#: 154134

San Diego, CA

Past

July 6, 1992 - January 15, 1997

PRIME CHARTER LTD.

CRD#: 25668

NEW YORK, NY

Past

January 22, 1992 - July 13, 1992

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

January 25, 1990 - March 13, 1991

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

North Carolina
(1/25/2019)

Exams

State Security Law Exam

Series 63

Date: 1/25/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 12/27/2018

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 11/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

INDEPENDENT INVESTMENT BANKERS CORP. | INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134 / SEC#: , 8-68609

Arizona

Registered Investment Advisory firm - SEC (7/14/2025 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/14/2025 Termination Requested)

Washington

Registered Investment Advisory firm - SEC (8/14/2025 Terminated)

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

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

11801 Domain Blvd 3rd Floor, Austin, TX 78758

Mailing Address

2900 North Quinlan Park Rd. Suite# 240-235, Austin, TX 78732

Phone number

(512) 266-3000

Established

Delaware since 04/07/2010

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
IIB HOLDINGS, CORP.	OWNER
FICHERA, DANTE	CEO/CFO	3059445
GODDARD, HOUSTON ALLEN	CCO AND GENERAL COUNSEL	1260759

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Barry A. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Barry Alan Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT INVESTMENT BANKERS, CORP.

PRIME CHARTER LTD.

SBC WARBURG DILLON READ INC.

SBC WARBURG DILLON READ INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/25/2019

Series 79TO

Date: 12/27/2018

SIE

Date: 11/30/2018

Series 7

Date: 6/20/1992

FINRA

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INDEPENDENT INVESTMENT BANKERS, CORP.

TRUST BUT VERIFY

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