Brian T. 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.
Brian Todd Baker, who also goes by Brian Baker, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1996. Brian had worked at 11 firms and has passed the Series 66, Series 63, 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
January 8, 2018 - July 8, 2020
USAA INVESTMENT SERVICES COMPANY
April 19, 2017 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
March 7, 2017 - June 18, 2020
USAA FINANCIAL ADVISORS, INC.
January 29, 2014 - August 24, 2016
CETERA INVESTMENT ADVISERS LLC
January 22, 2014 - January 31, 2014
CETERA INVESTMENT SERVICES LLC
January 22, 2014 - August 24, 2016
CETERA INVESTMENT SERVICES LLC
June 26, 2013 - January 15, 2014
FIRST CANTERBURY SECURITIES, INC.
February 5, 2003 - October 24, 2003
CITICORP INVESTMENT SERVICES
April 7, 1998 - February 5, 2003
CAL FED INVESTMENTS
November 3, 1997 - March 25, 1998
U.S. BANCORP INVESTMENTS, INC.
April 24, 1997 - September 19, 1997
INTERFIRST CAPITAL CORPORATION
June 19, 1996 - March 26, 1997
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
