Brad E. Baker

KESTRA ADVISORY SERVICES

Litchfield Park, AZ

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CRD#: 1535642

Professional summary

Brad Eugene Baker, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Litchfield Park, Arizona and KESTRA INVESTMENT SERVICES, LLC located in Litchfield Park, Arizona.

Brad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Brad has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 6 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brad Eugene 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®

CFP^®

Certified Financial Planner

Experience

Current

August 25, 2021 - Present

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Litchfield Park, AZ

Current

August 17, 2021 - Present

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Litchfield Park, AZ

Past

August 16, 2021 - August 26, 2021

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PEORIA, AZ

Past

December 22, 2016 - August 17, 2021

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

Glendale, AZ

Past

December 15, 2016 - August 16, 2021

BBVA SECURITIES INC.

CRD#: 27060

PEORIA, AZ

Past

October 6, 2014 - December 12, 2016

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

GOODYEAR, AZ

Past

August 12, 2014 - December 12, 2016

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

GOODYEAR, AZ

Past

January 28, 2009 - February 4, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

SUPRISE, AZ

Past

January 20, 2009 - August 11, 2014

LPL FINANCIAL LLC

CRD#: 6413

SUPRISE, AZ

Past

July 13, 2006 - January 21, 2009

CUE FINANCIAL GROUP, INC.

RIA

CRD#: 21033

GLENDALE, AZ

Past

July 5, 2006 - January 21, 2009

CUE FINANCIAL GROUP, INC.

CRD#: 21033

GLENDALE, AZ

Past

February 10, 2005 - July 19, 2006

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

PHOENIX, AZ

Past

January 10, 2001 - July 19, 2006

CETERA WEALTH SERVICES, LLC

CRD#: 13572

PHOENIX, AZ

Past

May 11, 1995 - May 3, 2001

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

February 11, 1995 - May 11, 1995

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

November 28, 1994 - January 26, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 20, 1992 - March 18, 1994

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

August 7, 1991 - May 13, 1992

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

August 7, 1991 - May 13, 1992

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

October 12, 1988 - July 8, 1991

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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

Arizona
(8/17/2021)

IAR

Arizona
(8/25/2021)

California
(8/17/2021)

Colorado
(6/14/2023)

Illinois
(8/17/2021)

Montana
(8/17/2021)

Nevada
(8/17/2021)

Ohio
(8/7/2024)

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

IAR

Series 65

Date: 5/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/1994

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 12/1/1992

Municipal Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/11/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/13/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/01/2025	Cover Page	Report
12/23/2024	Cover Page	Report
10/20/2023	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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Advisor Monitoring

Firm Stability Insights

Brad E. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brad Eugene Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

PNC WEALTH MANAGEMENT LLC

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUE FINANCIAL GROUP, INC.

CUE FINANCIAL GROUP, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SENTRA SECURITIES CORPORATION

THE ADVISORS GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ESSEX NATIONAL SECURITIES, LLC

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/1999

Series 63

Date: 10/9/1986

SIE

Date: 10/1/2018

Series 7

Date: 12/22/1994

Series 52

Date: 12/1/1992

Series 6

Date: 10/11/1988

Series 24

Date: 6/13/1995

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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