TB
Thomas W. Baker
STIFEL INDEPENDENT ADVISORS
FREDERICKSBURG, VA 22401
Some features on this profile are disabled
CRD#: 1349581
TB
Professional summary
Thomas Witt Baker is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Fredericksburg, Virginia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 52, Series 10 and Series 9 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. Caroline St Enterprises, LLC; 913 Caroline St. Fredericksburg VA 22401; LLC that owns the condo I rent to my father; managing member; manage the condo; 01/01/2079; 2.00 Hour(s) Per Month; not during securities trading hours; Investment-Related. 2. 913 Caroline Condo HOA; 913 Caroline St, Fredericksburg, VA 22401; HOA of condo unit; runs the HOA; 8/1/2023; 2hr/month; During Securities Trading Hours; Not Investment Related. 3. Rokeby Farms LLC; 5447 Kings HWY King George VA 22485; I bought an old farmhouse for my primary residence. I rent the fields to a farmer and use an LLC for tax and liability purposes; LLC owner; no duties; 01/07/2025; 0 hrs/day; not during securities trading hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Witt Baker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Witt 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®
NoneExperience
Current
July 25, 2024 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 451 Wolfe Street Suite 101, Fredericksburg, VA 22401RIA
BD
CRD#: 28218
FREDERICKSBURG, VA
Current
July 25, 2024 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 451 Wolfe Street Suite 101, Fredericksburg, VA 22401RIA
BD
CRD#: 28218
FREDERICKSBURG, VA
Past
January 3, 2017 - July 25, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
FREDERICKSBURG, VA
Past
January 3, 2017 - July 25, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
FREDERICKSBURG, VA
Past
November 20, 2008 - January 11, 2017
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
TAMPA, FL
Past
October 31, 2008 - January 11, 2017
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
TAMPA, FL
Past
September 12, 2006 - November 18, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
TAMPA, FL
Past
February 21, 2006 - November 18, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
TAMPA, FL
Past
June 20, 2003 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
TAMPA, FL
Past
January 4, 1999 - June 24, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 20, 1995 - January 4, 1999
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
September 18, 1995 - December 7, 1995
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
September 9, 1988 - January 18, 1990
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Past
May 10, 1985 - May 11, 1988
SALOMON BROTHERS INC.
BD
CRD#: 740
Past
March 23, 1985 - April 29, 1985
WEAVER JOHNSON & COMPANY,INC.
BD
CRD#: 14442
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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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.RR
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
RR
Florida(7/25/2024)
RR
Georgia(12/13/2024)
RR
Illinois(11/5/2024)
RR
Maryland(7/25/2024)
RR
New York(7/25/2024)
RR
North Carolina(7/25/2024)
RR
South Carolina(1/9/2025)
RR
Virginia(7/25/2024)
IAR
Virginia(7/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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.
Company Information
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218Fredericksburg, VA 22401Contact information
xxxxx@xxxx.xxx
Similar Advisors
