Samuel H. Baker

ALLEN INVESTMENT MANAGEMENT

New York, NY 10022

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CRD#: 1850608

Professional summary

Samuel Hopkins Baker is a registered financial advisor currently at ALLEN INVESTMENT MANAGEMENT, LLC located in New York, New York.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Samuel has worked at 4 firms and has passed the Series 63, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Hopkins Baker's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 29, 2021 - Present

ALLEN INVESTMENT MANAGEMENT, LLC

Office #1: 711 Fifth Avenue 10th Floor, New York, NY, 10022

RIA

CRD#: 124454

New York, NY

Past

June 9, 1998 - July 20, 2006

OLD MUTUAL INVESTMENT PARTNERS

CRD#: 44916

BOSTON, MA

Past

May 24, 1996 - June 12, 1998

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

May 22, 1990 - March 18, 1996

ALLEN & COMPANY LLC

CRD#: 1042

NEW YORK, NY

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".

ALLEN INVESTMENT MANAGEMENT, LLC

ALLEN & COMPANY INVESTMENT ADVISORS | ALLEN INVESTMENT MANAGEMENT, LLC | ALLEN GLOBAL PARTNERS

CRD#: 124454 / SEC#: 801-61985

RIA

Registered Investment Advisory firm - (4/11/2003 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.

Highlighted states indicate IAR registrations

IAR

New York
(9/29/2021)

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.

Exams

State Security Law Exam

Series 63

Date: 8/15/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/19/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/20/1994

General Securities Principal Examination

Current Firm

ALLEN INVESTMENT MANAGEMENT, LLC

ALLEN & COMPANY INVESTMENT ADVISORS | ALLEN INVESTMENT MANAGEMENT, LLC | ALLEN GLOBAL PARTNERS

CRD#: 124454 / SEC#: 801-61985

RIA

Registered Investment Advisory firm - (4/11/2003 Approved)

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Contact information

Main Address

711 Fifth Avenue 10th Floor, New York, NY, 10022

Mailing Address

Phone number

(212) 832-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLEN INVESTMENT MANAGEMENT FORM ADV PART 2A MARCH 2024 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	822
AUM (Assets Under Management)	$ 15,833,950,821

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/30/2024	Cover Page	Report
01/26/2024	Cover Page	Report
01/03/2023	Cover Page	Report

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.

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Samuel H. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Hopkins Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

OLD MUTUAL INVESTMENT PARTNERS

SEI INVESTMENTS DISTRIBUTION CO.

ALLEN & COMPANY LLC

Primary Firm SEC Registration

ALLEN INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/15/1991

Series 7

Date: 5/19/1990

Series 24

Date: 5/20/1994

Current Firm

ALLEN INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLEN INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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