Timothy J. Baker

CORNERSTONE ASSET MANAGEMENT SERVICES

Broadview Heights, OH 44147

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CRD#: 2589837

Professional summary

Timothy J Baker, who also goes by Timothy J Baker Jr, is a registered financial advisor currently at CORNERSTONE ASSET MANAGEMENT SERVICES, INC. located in Broadview Heights, Ohio.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Timothy has worked at 13 firms and has passed the Series 65, Series 63, Series 66, Series 7, Series 3 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Timothy J Baker Jr

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.

Independent Licensed Insurance Agent; Non-investment related; Private residence in Brunswick, OH; 10/2005; 80 hours per month; Agent offering annuities and life insurance if a client's portfolio and overall goals deem the use of such products suitable and in the client's best interest.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy J Baker'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®

None

Experience

Current

March 6, 2025 - Present

CORNERSTONE ASSET MANAGEMENT SERVICES, INC.

Office #1: 1000 W Wallings Rd Suite D, Broadview Heights, OH 44147

RIA

CRD#: 137712

Broadview Heights, OH

Past

April 30, 2014 - October 12, 2023

ROYAL FUND MANAGEMENT, LLC

RIA

CRD#: 144434

North Olmstead, OH

Past

August 21, 2013 - October 24, 2013

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

INDEPENDENCE, OH

Past

January 10, 2012 - January 2, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CANFIELD, OH

Past

December 21, 2011 - January 2, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CANFIELD, OH

Past

June 20, 2007 - March 31, 2008

LEGEND ADVISORY, LLC

RIA

CRD#: 104761

PALM BEACH GARDENS, FL

Past

June 14, 2007 - March 31, 2008

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

Past

April 20, 2006 - May 5, 2006

HANTZ FINANCIAL SERVICES, INC.

CRD#: 46047

INDEPENDENCE, OH

Past

April 8, 2004 - June 18, 2004

HBKS WEALTH ADVISORS

RIA

CRD#: 112139

ERIE, PA

Past

March 15, 2004 - April 27, 2004

CAP PRO BROKERAGE SERVICES, INC.

CRD#: 103953

COLUMBUS, OH

Past

July 25, 2003 - September 3, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

OWINGS MILLS, MD

Past

July 3, 2003 - September 3, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 3, 2003 - September 3, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

December 10, 1997 - December 23, 1998

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

January 31, 1997 - July 8, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 29, 1995 - July 31, 1996

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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

Ohio
(3/6/2025)

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 65

Date: 12/20/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/22/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/24/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/9/2012

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/20/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 52

Date: 3/16/1995

Municipal Securities Representative Examination

Current Firm

CORNERSTONE ASSET MANAGEMENT SERVICES, INC.

CRD#: 137712 / SEC#: 801-68417

RIA

Registered Investment Advisory firm - (6/11/2012 Terminated)

Arizona

Registered Investment Advisory firm - (3/28/2012 Approved)

Indiana

Registered Investment Advisory firm - (6/6/2012 Approved)

Kansas

Registered Investment Advisory firm - (6/8/2012 Approved)

Michigan

Registered Investment Advisory firm - (6/11/2012 Approved)

Montana

Registered Investment Advisory firm - (5/15/2023 Approved)

Ohio

Registered Investment Advisory firm - (6/6/2012 Approved)

Texas

Registered Investment Advisory firm - (6/5/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1000 W Wallings Rd Suite D, Broadview Heights, OH 44147

Mailing Address

Phone number

(440) 746-0707

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	494
AUM (Assets Under Management)	$ 36,697,255

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

Timothy J. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy J Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROYAL FUND MANAGEMENT, LLC

FORESTERS FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

LEGEND ADVISORY, LLC

LEGEND EQUITIES CORPORATION

HANTZ FINANCIAL SERVICES, INC.

HBKS WEALTH ADVISORS

CAP PRO BROKERAGE SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

CHARLES SCHWAB & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERIPRISE ADVISOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/2024

Series 63

Date: 2/22/2012

Series 66

Date: 7/24/2003

Series 7

Date: 1/9/2012

Series 3

Date: 10/20/2009

Series 52

Date: 3/16/1995

Current Firm

CORNERSTONE ASSET MANAGEMENT SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CORNERSTONE ASSET MANAGEMENT SERVICES, INC.

TRUST BUT VERIFY

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