BA
Brian L. Affolder
THE BAKER GROUP, LP
Oklahoma City, OK 73118-1426
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CRD#: 2170742
BA
Professional summary
Brian Lee Affolder is a registered financial professional currently at THE BAKER GROUP, LP located in Oklahoma City, Oklahoma.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1991. Brian has worked at 2 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Brian Lee Affolder'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
November 26, 2003 - Present
THE BAKER GROUP, LP
Office #1: 1601 Nw Expressway 21st Floor, Oklahoma City, OK 73118-1426Office #2: 1601 Nw Expressway 21st Floor, Oklahoma City, OK 73118-1426RIA
BD
CRD#: 7888
Oklahoma City, OK
Past
October 24, 1991 - November 13, 1992
MONY SECURITIES CORPORATION
BD
CRD#: 4386
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Colorado(3/27/2024)
RR
Illinois(7/12/2007)
RR
Iowa(5/30/2024)
RR
Kansas(11/15/2024)
RR
Oklahoma(12/15/2003)
RR
Texas(4/14/2004)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/23/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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#: 7888Oklahoma City, OK 73118-1426TRUST BUT VERIFY
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