John D. Baka

VIRTUS INVESTMENT ADVISERS

AURORA, IL

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CRD#: 2506402

Professional summary

John D Baka, CIMA®, who also goes by John David Baka, is a registered financial advisor currently at VIRTUS INVESTMENT ADVISERS, LLC located in Aurora, Illinois and VP DISTRIBUTORS LLC located in Hartford, Connecticut.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John David Baka

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 John D Baka'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

November 19, 2018 - Present

VIRTUS INVESTMENT ADVISERS, LLC

RIA

CRD#: 106982

AURORA, IL

Current

June 1, 2017 - Present

VP DISTRIBUTORS LLC

Office #1: One Financial Plaza, Hartford, CT 06103

CRD#: 3036

Hartford, CT

Past

April 26, 2011 - November 19, 2018

VIRTUS CAPITAL ADVISERS, LLC

RIA

CRD#: 107346

AURORA, IL

Past

April 15, 2011 - June 1, 2017

FORESIDE ASSOCIATES, LLC

CRD#: 13494

PORTLAND, ME

Past

January 2, 2009 - May 17, 2010

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

MINNEAPOLIS, MN

Past

November 12, 2008 - May 17, 2010

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

BOSTON, MA

Past

November 12, 2008 - January 2, 2009

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

MINNEAPOLIS, MN

Past

September 29, 2000 - November 20, 2007

CALAMOS ADVISORS LLC

RIA

CRD#: 105758

NAPERVILLE, IL

Past

January 7, 2000 - November 3, 2008

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

May 14, 1998 - September 7, 1999

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

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".

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 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.

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

IAR

Connecticut
(11/19/2018)

Illinois
(6/1/2017)

Iowa
(6/1/2017)

Missouri
(6/1/2017)

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.

Exams

State Security Law Exam

Series 63

Date: 3/27/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/30/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/8/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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Contact information

Main Address

One Financial Plaza 26th Floor, Hartford, CT 06103

Mailing Address

Phone number

(800) 248-7971

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 53,982,609,839

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

John D. Baka

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John D Baka's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

VIRTUS CAPITAL ADVISERS, LLC

FORESIDE ASSOCIATES, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIVERSOURCE DISTRIBUTORS, INC.

CALAMOS ADVISORS LLC

CALAMOS FINANCIAL SERVICES LLC

DWS DISTRIBUTORS, INC.

Primary Firm SEC Registration

VIRTUS INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/27/2009

Series 65

Date: 5/30/2000

SIE

Date: 10/1/2018

Series 7

Date: 3/18/1999

Series 6

Date: 5/8/1998

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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