Matthew J. Baker
Professional summary
Matthew John Baker, who also goes by Matt Baker, Matthew J Baker, is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1997. Matthew has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew John Baker's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 25, 2023 - Present
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416April 19, 2018 - October 20, 2023
CHARLES SCHWAB & CO., INC.
February 28, 2018 - October 20, 2023
CHARLES SCHWAB & CO., INC.
December 18, 2015 - January 17, 2018
CHARLES SCHWAB INVESTMENT ADVISORY, INC
October 1, 2012 - July 7, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - July 7, 2015
J.P. MORGAN SECURITIES LLC
March 6, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 6, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 22, 2007 - November 9, 2007
ADVISORS ASSET MANAGEMENT, INC.
May 22, 2007 - November 9, 2007
ADVISORS ASSET MANAGEMENT, INC.
January 19, 2000 - February 16, 2007
ATLAS SECURITIES, LLC
April 24, 1999 - March 20, 2000
ONE ORCHARD EQUITIES, INC.
April 1, 1998 - December 23, 1998
FOUNDERS ASSET MANAGEMENT LLC
June 3, 1997 - April 1, 1998
FOUNDERS ASSET MANAGEMENT, INC.
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
FINRA
Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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