Dennis Fred Baker, CFP | Financial Professional | Verona, Wisconsin

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Contact Information

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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

CFP®

Certified Financial PlannerSince 2011

Years of Experience

35 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

351 Prairie Heights Dr, Verona, WI 53593

January 19, 2024 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

351 Prairie Heights Dr, Verona, WI 53593

January 19, 2024 - Present

Past

WOODBURY FINANCIAL SERVICES, INC.Past·CRD# 421

RIA

Verona, WI

December 16, 2005 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.Past·CRD# 421

BD

Verona, WI

December 16, 2005 - January 19, 2024

HARBOUR INVESTMENTS, INC.Past·CRD# 19258

BD

Madison, WI

July 11, 2000 - December 20, 2005

HOCHMAN & BAKER SECURITIES, INC.Past·CRD# 19949

BD

Stamford, CT

October 24, 1991 - July 11, 2000

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Current Firm

OW

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Contact Information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone Number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Large

# of Employees

8,979

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (11/6/2026)

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER	—
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
REID, SHANNON	CEO, PRESIDENT, DIRECTOR	4815189
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory Assets Under Management

Total Number of Accounts

850,797

AUM (Assets Under Management)

$234,858,518,740

Disclosures

Regulatory Event

51

Arbitration

31

Bond

7

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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. 351 PRAIRIE HEIGHTS DRIVE LLC, VERONA WI; COMMERCIAL REAL ESTATE OWNERSHIP; MEMBER; 06/12/1998; 1HR/MON; 1HR/MON; RENTAL MGMT 2. DNR TREES; NONINV REALTED; 1240 N GAFFNEY ROAD BELLEVILLE, WI 53508 NON INVESTMENT RELATED. 1995 # HOURS DEVOTED VARIES FROM 0 TO 20 HOURS/MONTH. NONE DURING TRADING HOURS. OWNERSHIP IS 100% SOLE PROPRIETOR. 3. OREGON ICE SOLAR, LLC POSITION: Member/Trustee NATURE: LLC is the ownership structure. 100% Ownership Interest of the LLC is Baker Living Trust dated November 23, 2011, Dennis Baker andRachel Baker, Trustees; INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/26/2018; ADDRESS: 351 Prairie Heights Dr, Verona WI 53593, United States; DESCRIPTION: Oregon Ice Solar, LLC will install a solar DC system on the leased roof of the Oregon Ice Arena, located in Oregon, WI. The Ice Arena will purchase the Energy Savings Measures (ESMs) in the form of Renewable Energy Credits (RECs) from the LLC. Once the system is installed and running, my duties will be monthly meter readings and invoicing. The Oregon Ice Arena is a non-profit 501C

(3) organization. This system will allow them to save significant utility costs without a major up-front financial commitment with the option of owning the system in a few years. 4. BAKER SCHULTZ TAX AND FINANCIAL LLC POSITION: Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 25 START DATE: 07/01/2020 ADDRESS: 351 Prairie Heights Dr, Verona WI 53593, United States DESCRIPTION: Tax Preparation and Planning and related services 5. TWMIG-MIE, LLC POSITION: Member NATURE: LLC Members include Dennis Baler, Rachel Baker, Tin Stadelman, Lori Stadelman. Tim and Lori Stadelman are no longer securities clientsEach member owns a 25% interest in the LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2023 ADDRESS: 1031 Colt Dr, Belleville WI 53508, United States DESCRIPTION: This is a non-investment related commercial real estate ownership and rentals. My duties will include management activities but not day-to-day activities. 6. DUNGUD LLC POSITION: Member NATURE: LLCMembers include Dennis Baker, Rachel Baker, Tin Stadelman, Lori Stadelman. Tim and Lori Stadelman are no longer securities clients. Each member owns a 25% interest in the LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2024 ADDRESS: 1031 Colt Dr, Belleville WI 53508, United States DESCRIPTION: This is a non-investment related commercial real estate ownership with rentals. My duties will include management activities but not day-to-day activities. 7. LATTICE CPA LLC POSITION: Employee NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 12/01/2025 ADDRESS: 351 Prairie Heights Dr, Verona WI 53593, United States DESCRIPTION: Income Tax Preparation/accounting for Individuals and Businesses. 8. DNR TREES POSITION: Tree Trimmer NATURE: DNR TREES; NON INV REALTED; 1240 N GAFFNEY ROAD BELLEVILLE, WI 53508 NON INVESTMENT RELATED. 1995 # HOURS DEVOTED VARIES FROM 0 TO 20 HOURS/MONTH. NONE DURING TRADING HOURS. OWNERSHIP IS 100% SOLE PROPRIETOR. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2008 ADDRESS: 1240 N Gaffney Road, Belleville WI 53508, United States DESCRIPTION: Plant and maintain trees used for Christmas Trees

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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".

OW

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(1/19/2024)

RR

Florida
(1/19/2024)

IAR

Florida
(9/25/2024)

RR

Illinois
(1/19/2024)

RR

Iowa
(1/19/2024)

RR

Massachusetts
(1/19/2024)

RR

Michigan
(1/19/2024)

RR

Minnesota
(1/19/2024)

RR

Mississippi
(1/19/2024)

RR

New Mexico
(5/6/2025)

RR

New York
(1/19/2024)

RR

Ohio
(1/19/2024)

RR

Wisconsin
(1/19/2024)

IAR

Wisconsin
(1/19/2024)

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.Note:This rule does not apply to broker-dealer activity.