JB
James F. Baka
U.S. BANCORP ADVISORS
Chicago, IL 60631
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CRD#: 2068491
JB
Professional summary
James Francis Baka, AIF®, who also goes by Jim Baka, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Chicago, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Baka
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.
CRS (Client Relationship Summary) - RIA
Click below to view James Francis Baka's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Francis Baka's 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®
Experience
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 6100 N Northwest Hwy, Chicago, IL 60631Office #2: N64 W24857 Main St, Sussex, WI 53089Office #3: 4455 Montgomery Rd, Naperville, IL 60564RIA
BD
CRD#: 14455
Chicago, IL
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 6100 N Northwest Hwy, Chicago, IL 60631Office #2: N64 W24857 Main St, Sussex, WI 53089Office #3: 4455 Montgomery Rd, Naperville, IL 60564RIA
BD
CRD#: 14455
Chicago, IL
Past
August 3, 2023 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Naperville, IL
Past
July 31, 2023 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Naperville, IL
Past
September 30, 2022 - February 9, 2023
TRANSCEND CAPITAL ADVISORS, LLC
RIA
CRD#: 299723
Naperville, IL
Past
October 26, 2007 - March 3, 2022
CALAMOS WEALTH MANAGEMENT LLC
RIA
CRD#: 143490
NAPERVILLE, IL
Past
April 1, 2003 - October 17, 2007
CALAMOS ADVISORS LLC
RIA
CRD#: 105758
NAPERVILLE, IL
Past
April 1, 2003 - March 3, 2022
CALAMOS FINANCIAL SERVICES LLC
BD
CRD#: 19850
NAPERVILLE, IL
Past
February 1, 1999 - April 10, 2003
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
CHICAGO, IL
Past
June 15, 1995 - April 10, 2003
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
June 5, 1992 - January 30, 1995
HAMILTON INVESTMENTS, INC.
BD
CRD#: 821
Past
October 23, 1990 - December 4, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 8, 1990 - September 7, 1990
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 8, 1990 - September 7, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(2/13/2026)
IAR
Illinois(2/13/2026)
RR
Minnesota(2/13/2026)
IAR
Minnesota(2/13/2026)
RR
Wisconsin(2/13/2026)
IAR
Wisconsin(2/13/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/16/1994
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
800 N Brand Blvd. 16th Floor 16th Floor, Glendale, CA, 91203
Mailing Address
800 N Brand Blvd. 16th Floor, Glendale, CA, 91203
Phone number
(800) 634-1100
Established
Delaware since 06/28/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
244
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
