Kenneth Wayne Judd

RBC CAPITAL MARKETS, LLC

SEATTLE, WA · CRD#

INVST, LLC

Vernon Hills, IL · CRD#

CLEVELAND WEALTH, LLC

CLEVELAND, OH · CRD#

ALLWORTH FINANCIAL, L.P.

Orting, WA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

RBC CAPITAL MARKETS, LLC

SEATTLE, WA · CRD#

INVST, LLC

Vernon Hills, IL · CRD#

CLEVELAND WEALTH, LLC

CLEVELAND, OH · CRD#

ALLWORTH FINANCIAL, L.P.

Orting, WA · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

RBC CAPITAL MARKETS, LLC

SEATTLE, WA · CRD#

INVST, LLC

Vernon Hills, IL · CRD#

CLEVELAND WEALTH, LLC

CLEVELAND, OH · CRD#

ALLWORTH FINANCIAL, L.P.

Orting, WA · CRD#

Years of Experience

40 years registered in the securities industry

Current & Past Employments

Current

THE BAKER GROUP, LPCurrent·CRD# 7888

RIA

BD

1601 Nw Expressway 21st Floor, Oklahoma City, OK 73118-1426

December 10, 2008 - Present

Past

ICBA SECURITIESPast·CRD# 24088

BD

Chicago, IL

March 25, 1991 - October 12, 2006

VINING-SPARKS IBG, LLCPast·CRD# 27502

BD

Chicago, IL

January 1, 1991 - October 12, 2006

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.Past·CRD# 16493

BD

March 1, 1989 - January 1, 1991

PLANSMITH SECURITIES,INC.Past·CRD# 14467

BD

January 16, 1987 - March 31, 1989

Similar Advisors

RBC CAPITAL MARKETS, LLC

SEATTLE, WA · CRD#

INVST, LLC

Vernon Hills, IL · CRD#

CLEVELAND WEALTH, LLC

CLEVELAND, OH · CRD#

ALLWORTH FINANCIAL, L.P.

Orting, WA · CRD#

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

THE BAKER GROUP, LP

CRD#: 7888 / SEC#: 801-64345, 8-23684

RIA

Registered Investment Advisory firm - SEC (12/31/2005 Terminated)

Florida

Registered Investment Advisory firm - SEC (9/12/2023 Terminated)

Georgia

Registered Investment Advisory firm - SEC (9/18/2023 Terminated)

Indiana

Registered Investment Advisory firm - SEC (9/13/2023 Terminated)

Iowa

Registered Investment Advisory firm - SEC (3/11/2015 Terminated)

Nevada

Registered Investment Advisory firm - SEC (9/13/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (2/8/1983 Approved)

Texas

Registered Investment Advisory firm - SEC (9/12/2023 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (New Orleans 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).

Contact Information

Main Address

1601 Nw Expressway 21st Floor, Oklahoma City, OK 73118-1426

Mailing Address

1601 Nw Expressway Suite 2000, Oklahoma City, OK 73118-1426

Phone Number

(405) 415-7202

Established

Oklahoma since 05/20/1992

Firm Type

Partnership

Fiscal Year End

December

Firm Size

Small

# of Employees

14

FINRA licenses (31 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
JAMES BAKER GROUP, INC.	GENERAL PARTNER	—
THE BAKER GROUP SOFTWARE SOLUTIONS, INC.	CLASS A LIMITED PARTNER	—
AFFOLDER, BRIAN LEE	MANAGING PARTNER	2170742
BAUMANN, MARK DUANE	MANAGING PARTNER	5977593
BLOSS, JOHN DAVID	MANAGING PARTNER	5423261
CURRIE, JOHN TAYLOR	MANAGING PARTNER	2800397
HART, FRANK GERALD	MANAGING PARTNER	5666950
HAYHURST, RYAN WARNER	PRESIDENT	2783567
HILL, RONALD AUSTIN	MANAGING PARTNER	4652327
HUXLEY, CARL WAYNE	CHIEF EXECUTIVE OFFICER	5476871
KINZER, JANTZ HUGHES	MANAGING PARTNER	2398922
OAKES, JEFFREY ROBERT	MANAGING PARTNER	4020640
PHILLIPS, KATHRYN ANNE	MANAGING PARTNER/CHIEF FINANCIAL OFFICER/CHIEF OPERATIONS OFFICER	4707853
STENSETH, PHILIP CLARK	MANAGING PARTNER	1845025
WRINKLE, MISTY WELLS	CHIEF COMPLIANCE OFFICER	2752550

Disclosures

Regulatory Event

4

Similar Advisors

RBC CAPITAL MARKETS, LLC

SEATTLE, WA · CRD#

INVST, LLC

Vernon Hills, IL · CRD#

CLEVELAND WEALTH, LLC

CLEVELAND, OH · CRD#

ALLWORTH FINANCIAL, L.P.

Orting, WA · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Similar Advisors

RBC CAPITAL MARKETS, LLC

SEATTLE, WA · CRD#

INVST, LLC

Vernon Hills, IL · CRD#

CLEVELAND WEALTH, LLC

CLEVELAND, OH · CRD#

ALLWORTH FINANCIAL, L.P.

Orting, WA · CRD#