Randall Warren Nelson
Professional Summary
Randall Warren Nelson, who also goes by Randall W Nelson, Randy Nelson, is a registered financial advisor currently at THE BAKER GROUP, LP located in Tulsa, Oklahoma. Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Randall has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 50, Series 7, Series 54,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Randall W Nelson, Randy Nelson
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Contact Information
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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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
JAMES BAKER & ASSOCIATES, A LIMITED PARTNERSHIP | THE BAKER GROUP, LP | THE BAKER GROUP PORTFOLIO MANAGEMENT, LP | THE BAKER GROUP | JAMES BAKER & COMPANY | JAMES BAKER & ASSOCIATES, LP
Contact Information
Main Address
1601 Nw Expressway 21st Floor, Oklahoma City, OK 73118-1426Mailing Address
1601 Nw Expressway Suite 2000, Oklahoma City, OK 73118-1426Phone Number
(405) 415-7202Established
Oklahoma since 05/20/1992Firm Type
PartnershipFiscal Year End
DecemberFirm Size
Small# of Employees
14FINRA licenses (31 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAMES BAKER GROUP, INC. | GENERAL PARTNER | — |
| THE BAKER GROUP SOFTWARE SOLUTIONS, INC. | CLASS A LIMITED PARTNER | — |
| AFFOLDER, BRIAN LEE | MANAGING PARTNER | 2170742 |
| BAUMANN, MARK DUANE | MANAGING PARTNER | 5977593 |
| BLOSS, JOHN DAVID | MANAGING PARTNER | 5423261 |
| CURRIE, JOHN TAYLOR | MANAGING PARTNER | 2800397 |
| HART, FRANK GERALD | MANAGING PARTNER | 5666950 |
| HAYHURST, RYAN WARNER | PRESIDENT | 2783567 |
| HILL, RONALD AUSTIN | MANAGING PARTNER | 4652327 |
| HUXLEY, CARL WAYNE | CHIEF EXECUTIVE OFFICER | 5476871 |
| KINZER, JANTZ HUGHES | MANAGING PARTNER | 2398922 |
| OAKES, JEFFREY ROBERT | MANAGING PARTNER | 4020640 |
| PHILLIPS, KATHRYN ANNE | MANAGING PARTNER/CHIEF FINANCIAL OFFICER/CHIEF OPERATIONS OFFICER | 4707853 |
| STENSETH, PHILIP CLARK | MANAGING PARTNER | 1845025 |
| WRINKLE, MISTY WELLS | CHIEF COMPLIANCE OFFICER | 2752550 |
Disclosures
Regulatory Event
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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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State Registrations and Notice Filings
(1/16/2024)
(3/3/2025)
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 Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Feb 2016About the Series 50 examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed Jun 2024About the Series 54 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Randall Warren Nelson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randall Warren Nelson's CRS (Customer Relationship Summary).
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