Russell S. Baker

NEXT LEVEL PRIVATE LLC

Harrison, NY 10528

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CRD#: 1551599

Professional summary

Russell Stephen Baker, who also goes by Russell S Baker, is a registered financial advisor currently at NEXT LEVEL PRIVATE LLC located in Harrison, New York.

Russell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Russell has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Russell S 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Russell Stephen 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

May 25, 2022 - Present

NEXT LEVEL PRIVATE LLC

Office #1: 500 Mamaroneck Avenue Suite 501, Harrison, NY 10528

RIA

CRD#: 313247

Harrison, NY

Past

December 7, 2015 - February 5, 2021

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

New York, NY

Past

October 29, 2007 - April 28, 2015

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

NEW YORK, NY

Past

January 9, 2003 - October 31, 2007

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

March 28, 2000 - January 17, 2003

MIZUHO SECURITIES USA LLC

CRD#: 19647

NEW YORK, NY

Past

December 20, 1996 - March 22, 2000

AUBREY G. LANSTON & CO., INC.

CRD#: 19695

NEW YORK, NY

Past

October 26, 1989 - April 11, 1997

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

April 29, 1987 - August 1, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

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".

NEXT LEVEL PRIVATE LLC

NEXT LEVEL PRIVATE LLC | NEXT LEVEL WEALTHCARE LLC

CRD#: 313247 / SEC#: 801-122122

RIA

Registered Investment Advisory firm - (8/18/2021 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.

Highlighted states indicate IAR registrations

IAR

New York
(5/25/2022)

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

IAR

Series 65

Date: 4/20/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/2000

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: 4/25/1987

General Securities Representative Examination

Current Firm

NEXT LEVEL PRIVATE LLC

NEXT LEVEL PRIVATE LLC | NEXT LEVEL WEALTHCARE LLC

CRD#: 313247 / SEC#: 801-122122

RIA

Registered Investment Advisory firm - (8/18/2021 Approved)

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Contact information

Main Address

500 Mamaroneck Avenue Suite 501, Harrison, NY 10528

Mailing Address

Phone number

(914) 431-5255

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NEXT LEVEL DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (4/1/2025)

Regulatory assets under management

Total Number of Accounts	2,235
AUM (Assets Under Management)	$ 1,054,765,000

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

Russell S. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Russell Stephen Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

TULLETT PREBON FINANCIAL SERVICES LLC

DAIWA CAPITAL MARKETS AMERICA INC.

J.P. MORGAN SECURITIES LLC

MIZUHO SECURITIES USA LLC

AUBREY G. LANSTON & CO., INC.

HSBC SECURITIES (USA) INC.

THOMSON MCKINNON SECURITIES INC.

Primary Firm SEC Registration

NEXT LEVEL PRIVATE LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/2022

Series 63

Date: 6/26/2000

SIE

Date: 10/1/2018

Series 7

Date: 4/25/1987

Current Firm

NEXT LEVEL PRIVATE LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEXT LEVEL PRIVATE LLC

TRUST BUT VERIFY

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