Brian C. Baker

BAKER ELLIS ASSET MANAGEMENT LLC

VANCOUVER, WA 98660

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CRD#: 1936839

Professional summary

Brian Christian Baker is a registered financial advisor currently at BAKER ELLIS ASSET MANAGEMENT LLC located in Vancouver, Washington.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Brian has worked at 3 firms and has passed the Series 63, Series 55 and Series 7 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.

Name: Canyon Court LLC. Investment-related: Investment portfolio owned in the name of 'Canyon Court'. Address: 1079 Mill Creek Road IV NV 89451. Nature of the business: Investment portfolio in an LLC wrapper; no business operations, customers or employees; owned by 2 trusts. Position: Manager. Start date: approximately 2009. Approximate number of hours/month devoted to the business: 30 minutes per month. Number of hours devoted to the business during securities trading hours: 5 minutes per month. Brief description of duties: Fill out paperwork, give statements to accountant, approve distribution and tax payment, file forms, approve trades.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Christian 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

April 11, 2001 - Present

BAKER ELLIS ASSET MANAGEMENT LLC

Office #1: 805 Broadway St. Suite 400, Vancouver, WA 98660

RIA

CRD#: 121802

VANCOUVER, WA

Past

February 6, 2002 - April 30, 2002

WILSON-DAVIS & CO., INC.

CRD#: 3777

SALT LAKE CITY, UT

Past

January 14, 1998 - February 4, 2002

WILSON-DAVIS & CO., INC.

CRD#: 3777

SALT LAKE CITY, UT

Past

April 10, 1989 - October 10, 1997

AMERITRADE NORTHWEST, INC.

CRD#: 10215

PORTLAND, OR

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".

BAKER ELLIS ASSET MANAGEMENT LLC

CRD#: 121802 / SEC#: 801-61479

RIA

Registered Investment Advisory firm - (9/20/2002 Approved)

California

Registered Investment Advisory firm - (1/6/2006 Cancelled)

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

Washington
(8/21/2023)

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: 5/25/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 4/25/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/18/1989

General Securities Representative Examination

Current Firm

BAKER ELLIS ASSET MANAGEMENT LLC

CRD#: 121802 / SEC#: 801-61479

RIA

Registered Investment Advisory firm - (9/20/2002 Approved)

California

Registered Investment Advisory firm - (1/6/2006 Cancelled)

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Contact information

Main Address

805 Broadway St. Suite 400, Vancouver, WA 98660

Mailing Address

Phone number

(503) 227-5778

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

CLIENT GUIDE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	349
AUM (Assets Under Management)	$ 874,168,625

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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Brian C. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Christian Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAKER ELLIS ASSET MANAGEMENT LLC

WILSON-DAVIS & CO., INC.

WILSON-DAVIS & CO., INC.

AMERITRADE NORTHWEST, INC.

Primary Firm SEC Registration

BAKER ELLIS ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/25/1989

Series 55

Date: 4/25/2000

Series 7

Date: 3/18/1989

Current Firm

BAKER ELLIS ASSET MANAGEMENT LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BAKER ELLIS ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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