Christie A. Baker
Professional summary
Christie Ann Baker, CFP®, who also goes by Chris Ann Baker, Christie Ann Thoerner, is a registered financial advisor currently at PERIGON WEALTH MANAGEMENT, LLC located in Irvine, California.
Christie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Christie has worked at 5 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Christie Ann Baker's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1988
Experience
November 2, 2021 - Present
PERIGON WEALTH MANAGEMENT, LLC
Office #1: 1130 Roosevelt, Irvine, CA 92620January 28, 2011 - November 1, 2021
BAKER & ASSOCIATES
March 19, 2003 - April 23, 2011
BAKER & ASSOCIATES
July 8, 1997 - May 3, 2011
MML INVESTORS SERVICES, LLC
August 16, 1989 - May 3, 2011
MML INVESTORS SERVICES, LLC
September 30, 1987 - August 28, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
PERIGON WEALTH MANAGEMENT, LLC
CRD#: 131037 / SEC#: 801-62988
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/2/2021)
(11/29/2023)
Exams
Current Firm
PERIGON WEALTH MANAGEMENT, LLC
CRD#: 131037 / SEC#: 801-62988
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,456 |
| AUM (Assets Under Management) | $ 8,714,418,958 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2024 | ||
| 10/24/2023 |
Red Flags
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