RN
Randall W. Nelson
THE BAKER GROUP, LP
Tulsa, OK 74105
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CRD#: 2105965
RN
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, Series 53, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randall W Nelson | Randy Nelson
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.
1) WARREN CAPITAL CORP; INVESTMENT RELATED; TULSA, OK; CORPORATION HOLDING COMPANY FOR OIL AND GAS LEASES; PRESIDENT-100% OWNERSHIP; STARTING 6/6/1995; 5 HRS/ MO; NO TIME DURING SECURITIES TRADING HOURS; GENERAL MANAGEMENT DUTIES.
2) SUDBURY TRANSPORTATION, INC., INVESTMENT RELATED; HAYSEVILLE, KS; TRANSPORTATION CORPORATION; CHAIRMAN WITH 50% OWNERSHIP; STARTING 7/1/2015; DEVOTE APPROXIMATELY 5 HOURS MONTHLY AND DURING SECURITIES TRADING HOURS; DUTIES ARE TO MAINTAIN CONTACT WITH STAFF CONCERNING OVERALL OPERATIONS.
3) CHASIN ENERGY LLC; INVESTMENT RELATED; NOWATA, OK; LLC (OIL/GAS PRODUCTION); MANAGING PARTNER; STARTING 3/1/2018; 3 HR/MO; NO TIME DURING SECURITIES TRADING HOURS; MANAGEMENT DUTIES.
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 3, 2025 - Present
THE BAKER GROUP, LP
Office #1: 3220 South Peoria Avenue Suite 102, Tulsa, OK 74105Office #2: 3220 S Peoria Avenue Suite 102, Tulsa, OK 74105RIA
BD
CRD#: 7888
Tulsa, OK
Current
January 11, 2024 - Present
THE BAKER GROUP, LP
Office #1: 3220 South Peoria Avenue Suite 102, Tulsa, OK 74105RIA
BD
CRD#: 7888
Tulsa, OK
Past
October 22, 2019 - January 18, 2024
D.A. DAVIDSON & CO.
RIA
CRD#: 199
PLANO, TX
Past
October 8, 2019 - January 18, 2024
D.A. DAVIDSON & CO.
BD
CRD#: 199
PLANO, TX
Past
March 2, 2005 - March 31, 2011
WARREN CAPITAL, CORP.
RIA
CRD#: 133659
TULSA, OK
Past
September 1, 2000 - December 2, 2019
WELLS NELSON & ASSOCIATES, L.L.C.
BD
CRD#: 104030
TULSA, OK
Past
August 17, 2000 - December 3, 2019
WELLS NELSON & ASSOCIATES, L.L.C.
RIA
CRD#: 104030
TULSA, OK
Past
July 30, 1998 - August 10, 2000
BOK FINANCIAL SECURITIES, INC.
BD
CRD#: 17530
TULSA, OK
Past
May 25, 1993 - December 16, 1998
LEO OPPENHEIM & CO., INC.
BD
CRD#: 26219
OKLAHOMA CITY, OK
Past
March 19, 1992 - May 11, 1993
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
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
Oklahoma(1/16/2024)
IAR
Oklahoma(3/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
THE BAKER GROUP, LP
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
CRD#: 7888 / SEC#: 801-64345, 8-23684
RIA
Registered Investment Advisory firm - SEC (12/31/2005 Terminated)Florida
Registered Investment Advisory firm - SEC (9/12/2023 Terminated)Georgia
Registered Investment Advisory firm - SEC (9/18/2023 Terminated)Indiana
Registered Investment Advisory firm - SEC (9/13/2023 Terminated)Iowa
Registered Investment Advisory firm - SEC (3/11/2015 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/13/2023 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (2/8/1983 Approved)Texas
Registered Investment Advisory firm - SEC (9/12/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1601 Nw Expressway 21st Floor, Oklahoma City, OK 73118-1426
Mailing Address
1601 Nw Expressway Suite 2000, Oklahoma City, OK 73118-1426
Phone number
(405) 415-7202
Established
Oklahoma since 05/20/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
12
FINRA licenses (29 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAMES BAKER GROUP, INC. | GENERAL PARTNER | |
| HAYHURST, RYAN WARNER | PRESIDENT | 2783567 |
| HILL, RONALD AUSTIN | MANAGING PARTNER | 4652327 |
| HUXLEY, CARL WAYNE | CHIEF EXECUTIVE OFFICER | 5476871 |
| 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 |
| 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 | 4 |
Red Flags
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Company Information
THE BAKER GROUP, LP
CRD#: 7888Tulsa, OK 74105TRUST BUT VERIFY
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