Deborah Ann Baker
CFP®Professional Summary
Deborah Ann Baker, CFP®, who also goes by Deboran Ann Baker, Deborah Ann Swinehart, was a registered financial advisor. Deborah was a previously registered financial professional and started their career in finance 1988 - 2023. Deborah had worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 10, Series 9, Series 27, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Deboran Ann Baker, Deborah Ann Swinehart
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Videos & Posts
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Contact Information
No current employment
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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.
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Credentials
Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
1280 FINANCIAL PARTNERS | WIGAND INTEGRATED WEALTH | WEST AVENUE PRIVATE WEALTH | VINCITA INVESTMENT PARTNERS | VELORUM WEALTH MANAGEMENT | VALOROUS PRIVATE WEALTH | VALEN PRIVATE WEALTH | UPLAND PRIVATE WEALTH | TOVA WEALTH | THEOREM WEALTH MANAGEMENT | THE MANCUSI GROUP | THE LONGO GROUP | SOUTHERN OAK WEALTH GROUP | SOTERIS PRIVATE WEALTH | SMITHBERG WEALTH | SKYPATH PRIVATE WEALTH | SANCTUARY WEALTH PARTNERS | SANCTUARY WEALTH ADVISORS | SANCTUARY SECURITIES, INC. | SANCTUARY SECURITIES | SANCTUARY GLOBAL | SAIGE PRIVATE WEALTH | ROCKET FINANCE | RICEBARRETT FAMILY WEALTH | RHA WEALTH | QUORUM PRIVATE WEALTH | QUESTAR CAPITAL PARTNERS | PRARIEFIRE WEALTH | PRAETEGO PRIVATE WEALTH | PIERSTONE WEALTH MANAGEMENT | PEREZ PRIVATE WEALTH GROUP | OTLEY PRIVATE WEALTH MANAGEMENT | OTLEY INVESTMENT FIDUCIARY SOLUTIONS | OPT WEALTH MANAGEMENT | NOYES GROUP, LLC | NOBLEVEST PRIVATE WEALTH | NOBLE WEALTH ADVISORS | NEXUSPATH WEALTH | NEWSPRING WEALTH MANAGEMENT | NAVASYNC PRIVATE WEALTH | MUIRWOOD PRIVATE WEALTH | MONROE FINANCIAL GROUP | MILLER ASHER PRIVATE WEALTH | MFORCE WEST TEXAS | MFORCE CAPITAL ARKANSAS, MARRIOTT WEALTH ADVISORS | MFORCE CAPITAL - FOSSIL ROCK PRIVATE WEALTH | MFORCE | MERCER WEALTH MANAGEMENT | MARBLE WEALTH | MACKIE & WALLER WEALTH MANAGEMENT | M&K LEGACY WEALTH | LOPEZ PRIVATE WEALTH GROUP | LIONS WEALTH PARTNERS | LEBLANC FINANCIAL GROUP | JDK WEALTH | JACKSON HILL & FISH PRIVATE WEALTH ADVISORS | ITERHIC WEALTH ADVISORS | IRON NORTH PRIVATE WEALTH | INNOVISE FAMILY WEALTH ADVISORS, LLC | HOLDER LEGACY WEALTH PARTNERS | HILLGUARD WEALTH MANAGEMENT | HEREDITAS WEALTH MANAGEMENT | HELENIA PRIVATE WEALTH | GREEN WEALTH MANAGEMENT GROUP | GRANITE ISLANDS PRIVATE WEALTH | GLOMB PRIVATE WEALTH | G SQUARED PRIVATE WEALTH | FUENTES HONDERMANN WEALTH MANAGEMENT | FLUENS WEALTH | FAMIGLIA WEALTH | EXCELSIS GLOBAL PRIVATE WEALTH | EVANS MAY WEALTH | ENSCONCE WEALTH PARTNERS | ECLIPSE PRIVATE WEALTH MANAGEMENT | DIAL SQUARE PRIVATE WEALTH | DIAGONAL INVESTMENT OFFICE | DC HILL WEALTH MANAGEMENT | DAVID A. NOYES & COMPANY | CROSSWATERS WEALTH MANAGEMENT | CRESCENT PINE FAMILY OFFICE GROUP | CRESCENT HARBOR PRIVATE WEALTH | CREDO WEALTH MANAGEMENT | CRECIENDO WEALTH | COPPERSKY WEALTH | COOKE FINANCIAL GROUP LLC | CONVERSANT WEALTH MANAGEMENT | CONCENTURE WEALTH MANAGEMENT | CLAYBOURN FRAKES | CHAPPELL WEALTH MANAGEMENT | CHADWICK BAY INVESTMENTS | CERULEAN PRIVATE WEALTH ADVISORS, LLC | CENTERAS PRIVATE WEALTH | CEDAR GAP WEALTH MANAGEMENT | CARPION PRIVATE WEALTH | CAPE ROCK PRIVATE WEALTH | BURNHAM HARBOR PRIVATE WEALTH | BOWERSOCK CAPITAL PARTNERS | BAYLEY INVESTMENT GROUP | AZIMUT GENESIS ADVISORS | AZ APICE - CAPITAL MANAGEMENT | AUSPERITY PRIVATE WEALTH | AURIC CAPITAL PARTNERS | ARRAS WEALTH MANAGEMENT | ALLUVIAL PRIVATE WEALTH | ALFA ADVISORY | ACORN ADVISORS GROUP | ACCRETION WEALTH ADVISORS | 6 DEGREES WEALTH | 401K PLAN ADVISOR | 18FORTY8 PRIVATE WEALTH
Contact Information
Main Address
1450 Brickell Avenue Suite 2120, Miami, FL 33131Mailing Address
1450 Brickell Avenue Suite 2120, Miami, FL 33131Phone Number
(317) 975-7729Established
Illinois since 03/07/1978Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANCTUARY WEALTH GROUP, LLC | SOLE SHAREHOLDER | — |
| CHASE, KEVIN P | CHIEF COMPLIANCE OFFICER | 1626158 |
| MILLER, KEVIN JOSEPH | CHIEF LEGAL OFFICER AND BOARD MEMBER OF SANCTUARY SECURITIES INC. | 4133001 |
| SMEAL, TIMOTHY D | DIRECTOR OF OPERATIONS | 4169869 |
| VAUGHAN, DAVID | FINANCIAL OPERATIONS PRINCIPAL- FINOP AND BOARD MEMBER OF SANCTUARY SECURITIES INC. | 2603399 |
| WALTER, ROBERT ALAN | PRESIDENT AND CHAIRMAN OF THE BOARD FOR SANCTUARY SECURITIES INC. | 2507287 |
Disclosures
Regulatory Event
21Arbitration
9Bond
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2002About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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