William Thomas Baker
Professional Summary
William Thomas Baker is a registered financial advisor currently at BENJAMIN SECURITIES, INC. located in Pensacola, Florida. William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. William has worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 79, Series 55, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
FINALIS SECURITIES LLC
SLATEN WEALTH MANAGEMENT
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
FINALIS SECURITIES LLC
SLATEN WEALTH MANAGEMENT
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
FINALIS SECURITIES LLC
SLATEN WEALTH MANAGEMENT
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
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
FINALIS SECURITIES LLC
SLATEN WEALTH MANAGEMENT
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
34 years in the financial services industry
Current & Past Employments
Similar Advisors
FINALIS SECURITIES LLC
SLATEN WEALTH MANAGEMENT
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
BENJAMIN & FORGIONE CO., INC. | BENJAMIN SECURITIES, INC.
Contact Information
Main Address
3 West Garden Street Suite 6, Albany, NY 12205Mailing Address
3 West Garden Street Suite 407, Pensacola, FL 32502Phone Number
(516) 931-1090Established
New York since 08/10/1977Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
6SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
FINRA licenses (32 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
65AUM (Assets Under Management)
$39,466,317Disclosures
Regulatory Event
1Similar Advisors
FINALIS SECURITIES LLC
SLATEN WEALTH MANAGEMENT
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
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.
Similar Advisors
FINALIS SECURITIES LLC
SLATEN WEALTH MANAGEMENT
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
BENJAMIN & FORGIONE CO., INC. | BENJAMIN SECURITIES, INC.
State Registrations and Notice Filings
(1/16/2026)
(1/14/2026)
(10/7/2014)
(3/16/2023)
(10/10/2014)
(1/14/2026)
(10/9/2014)
(8/17/2015)
(2/23/2021)
(5/23/2012)
(1/12/2026)
(6/8/2012)
(6/4/2024)
(6/14/2012)
(11/26/2012)
(4/28/2023)
(4/27/2020)
(1/13/2026)
(7/31/2012)
(9/27/2010)
(10/9/2014)
(11/16/2012)
(5/4/2022)
(11/19/2012)
(11/21/2025)
(11/30/2021)
(1/20/2026)
(7/3/2024)
(2/11/2015)
(10/7/2014)
(5/4/2022)
(5/30/2025)
(5/6/2022)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 79 — Investment Banking Registered Representative Examination
Passed May 2018About the Series 79 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Nov 1998SRO Registrations
SRO Registrations
Similar Advisors
FINALIS SECURITIES LLC
SLATEN WEALTH MANAGEMENT
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view William Thomas Baker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Thomas Baker's CRS (Customer Relationship Summary).
Similar Advisors
FINALIS SECURITIES LLC
SLATEN WEALTH MANAGEMENT
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
