Thomas G. Baker

ENVESTNET PMC

Sparks, MD

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CRD#: 2172076

Professional summary

Thomas Gill Baker, who also goes by Tom Baker, is a registered financial advisor currently at ENVESTNET PMC located in Sparks, Maryland.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Thomas has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Baker

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Gill Baker's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 12, 2024 - Present

ENVESTNET PMC

RIA

CRD#: 111694

Sparks, MD

Past

November 1, 2021 - February 14, 2022

AMERITAS ADVISORY SERVICES, LLC

RIA

CRD#: 317245

Rockville, MD

Past

July 6, 2021 - November 1, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

Rockville, MD

Past

July 6, 2021 - February 14, 2022

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

Rockville, MD

Past

January 14, 2009 - January 13, 2021

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

Washington, DC

Past

September 25, 2008 - January 13, 2021

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

WASHINGTON DC, DC

Past

February 5, 1998 - September 13, 2001

PSA EQUITIES, INC.

CRD#: 15676

HUNT VALLEY, MD

Past

December 13, 1993 - March 17, 1998

MERCANTILE BROKERAGE SERVICES, INC.

CRD#: 6784

BALTIMORE, MD

Past

July 29, 1992 - December 16, 1993

THE RIDERWOOD GROUP INCORPORATED

CRD#: 16681

TOWSON, MD

Past

November 19, 1991 - August 3, 1992

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

ENVESTNET PMC

CRD#: 111694 / SEC#: 801-57260

RIA

Registered Investment Advisory firm - (2/10/2000 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/18/2024)

IAR

Maryland
(1/12/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/31/2008

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/20/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/9/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/23/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/20/1999

Registered Options Principal Examination

Current Firm

ENVESTNET PMC

CRD#: 111694 / SEC#: 801-57260

RIA

Registered Investment Advisory firm - (2/10/2000 Approved)

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Contact information

Main Address

222 N. Lasalle St., Suite 625, Chicago, IL 60601

Mailing Address

1000 Chesterbrook Boulevard, Suite 250, Berwyn, PA 19312

Phone number

(312) 827-2800

Established

Firm type

Fiscal year end

# of Employees

394

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ENVESTNET ASSET MANAGEMENT ADV PART 2A (11/19/2025)

ENVESTNET ASSET MANAGEMENT ADV PART 2 APPENDIX 1 (11/19/2025)

ENVESTNET PRIVACY POLICY (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,021,610
AUM (Assets Under Management)	$ 532,197,263,852

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.

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Advisor Monitoring

Firm Stability Insights

Thomas G. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Gill Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERITAS ADVISORY SERVICES, LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

PSA EQUITIES, INC.

MERCANTILE BROKERAGE SERVICES, INC.

THE RIDERWOOD GROUP INCORPORATED

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

ENVESTNET PMC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/31/2008

Series 65

Date: 9/20/1993

Series 63

Date: 12/9/1991

SIE

Date: 10/1/2018

Series 7

Date: 9/23/2008

Series 4

Date: 4/20/1999

Current Firm

ENVESTNET PMC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ENVESTNET PMC

TRUST BUT VERIFY

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