Angela B. Baker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Angela Brown Baker, CFP®, who also goes by Angela Birgit Brown, Angela Birgit Creech, Angela Brown Creech, Angela Birgit Rateau, Angela Brown Rateau, was a registered financial professional .
Angela is a previously registered financial professional and started their career in finance in 2001. Angela had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2018 - February 24, 2022
WEST FINANCIAL SERVICES, INC.
February 17, 2009 - March 23, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 27, 2008 - January 14, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 5, 2008 - March 23, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 20, 2005 - January 8, 2008
VERUS FINANCIAL PARTNERS
January 13, 2003 - January 28, 2005
DOMINION CAPITAL ADVISORY, LLC
October 2, 2001 - January 22, 2004
OSAIC FS, INC.
Primary Firm SEC Registration
WEST FINANCIAL SERVICES, INC.
CRD#: 137497 / SEC#: 801-64834
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEST FINANCIAL SERVICES, INC.
CRD#: 137497 / SEC#: 801-64834
Contact information
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,636 |
| AUM (Assets Under Management) | $ 2,574,623,952 |
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.
