RB
Richard A. Baker
VANGUARD ADVISERS
Malvern, PA 19355
Some features on this profile are disabled
CRD#: 1568929
RB
Professional summary
Richard Andrew Baker is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Malvern, Pennsylvania and VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 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.
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355
CRS (Client Relationship Summary) - RIA
Click below to view Richard Andrew 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 1, 2021 - Present
VANGUARD ADVISERS, INC.
Office #1: 100 Vanguard Blvd, Malvern, PA 19355RIA
CRD#: 106715
Malvern, PA
Current
June 16, 2021 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
Malvern, PA
Past
October 3, 2003 - June 11, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
October 9, 2002 - October 8, 2003
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
July 16, 1999 - October 4, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 25, 1996 - July 19, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 29, 1994 - November 4, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 2, 1987 - August 5, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 24, 1986 - January 9, 1987
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
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".
VA
VANGUARD ADVISERS, INC.
VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
RIA
Registered Investment Advisory firm - (7/28/1995 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.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
Alabama(7/8/2025)
RR
Alaska(7/8/2025)
RR
Arizona(7/8/2025)
RR
Arkansas(7/8/2025)
RR
California(7/8/2025)
RR
Colorado(7/8/2025)
RR
Connecticut(7/8/2025)
RR
Delaware(7/8/2025)
RR
District of Columbia(7/8/2025)
RR
Florida(1/10/2024)
IAR
Florida(2/4/2024)
RR
Georgia(7/8/2025)
RR
Hawaii(7/8/2025)
RR
Idaho(7/8/2025)
RR
Illinois(7/8/2025)
RR
Indiana(7/8/2025)
RR
Iowa(7/8/2025)
RR
Kansas(7/8/2025)
RR
Kentucky(7/8/2025)
RR
Louisiana(7/8/2025)
RR
Maine(7/8/2025)
RR
Maryland(7/8/2025)
RR
Massachusetts(7/8/2025)
RR
Michigan(7/8/2025)
RR
Minnesota(7/8/2025)
RR
Mississippi(7/8/2025)
RR
Missouri(7/8/2025)
RR
Montana(7/8/2025)
RR
Nebraska(7/8/2025)
RR
Nevada(7/8/2025)
RR
New Hampshire(7/8/2025)
RR
New Jersey(7/8/2025)
RR
New Mexico(7/8/2025)
RR
New York(8/11/2021)
IAR
New York(11/14/2023)
RR
North Carolina(7/8/2025)
RR
North Dakota(7/8/2025)
RR
Ohio(7/8/2025)
RR
Oklahoma(7/8/2025)
RR
Oregon(7/8/2025)
RR
Pennsylvania(7/1/2021)
IAR
Pennsylvania(7/1/2021)
RR
Puerto Rico(7/8/2025)
RR
Rhode Island(7/8/2025)
RR
South Carolina(7/8/2025)
RR
South Dakota(7/8/2025)
RR
Tennessee(7/8/2025)
IAR
Texas(7/1/2021)
RR
Texas(7/8/2025)
RR
Utah(7/8/2025)
RR
Vermont(7/8/2025)
RR
Virgin Islands(7/8/2025)
RR
Virginia(7/8/2025)
RR
Washington(7/8/2025)
RR
West Virginia(7/8/2025)
RR
Wisconsin(7/8/2025)
RR
Wyoming(7/8/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/16/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VANGUARD ADVISERS, INC.
VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
RIA
Registered Investment Advisory firm - (7/28/1995 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
Phone number
(610) 669-1000
Established
Firm type
Fiscal year end
# of Employees
2,225
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
