James Francis Baka
AIF®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 Naperville, 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Baka
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
36 years in the financial services industry
Current & Past Employments
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Current Firm
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
Contact Information
Main Address
60 Livingston Ave Ep-mn-n2wc, Saint Paul, MN 55107Mailing Address
60 Livingston Ave Ep-mn-n2wc, St. Paul, MN 55107Phone Number
(800) 634-1100Established
Delaware since 06/28/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
379SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | — |
| ARIAS, CARLOS ALONSO | MANAGER | 3174333 |
| BEJASA, EILEEN | MANAGER | 7002808 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER AND MANAGER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| FLOUM, JOEL IRA | MANAGER | 2405754 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MENACHER, EILEEN RENEE | MANAGER | 4929896 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER AND MANAGER | 5025315 |
| STEINER, STEPHEN WARD | CHIEF OPERATIONS OFFICER AND MANAGER | 2259345 |
| TRIPLETT, SHANE T | MANAGER | 1865319 |
Regulatory Assets Under Management
Total Number of Accounts
3,992AUM (Assets Under Management)
$1,796,069,079Disclosures
Regulatory Event
4Arbitration
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | Cover Page | Report |
| 08/20/2024 | Cover Page | Report |
| 11/28/2023 | Cover Page | Report |
| 11/21/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(2/13/2026)
(2/13/2026)
(2/13/2026)
(2/13/2026)
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 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Sep 1994SRO Registrations
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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).
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