James G. Baker

TRANQUILITY PARTNERS

Brentwood, TN 37027

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CRD#: 2850941

Professional summary

James Golladay Baker III, who also goes by Jim Baker III, is a registered financial advisor currently at TRANQUILITY PARTNERS, LLC located in Brentwood, Tennessee.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Baker Iii

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 James Golladay Baker III's CRS (Customer Relationship Summary).

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

May 18, 2016 - Present

TRANQUILITY PARTNERS, LLC

Office #1: 5214 Maryland Way Suite 405, Brentwood, TN 37027

RIA

CRD#: 283478

Brentwood, TN

Past

April 12, 2001 - March 26, 2002

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

May 8, 1997 - April 16, 2001

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

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".

TRANQUILITY PARTNERS, LLC

CRD#: 283478 / SEC#: 801-113232

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Tennessee

Registered Investment Advisory firm - (5/30/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2018 Terminated)

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).

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

Tennessee
(5/18/2016)

IAR

Texas
(4/28/2017)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/29/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/31/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/6/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/17/2000

General Securities Principal Examination

Current Firm

TRANQUILITY PARTNERS, LLC

CRD#: 283478 / SEC#: 801-113232

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Tennessee

Registered Investment Advisory firm - (5/30/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2018 Terminated)

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Contact information

Main Address

5214 Maryland Way Suite 405, Brentwood, TN 37027

Mailing Address

Phone number

(615) 432-5370

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-TRANQUILITY PARTNERS, LLC (1/22/2025)

Regulatory assets under management

Total Number of Accounts	859
AUM (Assets Under Management)	$ 685,425,804

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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Firm Stability Insights

James G. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Golladay Baker III's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

TRUIST SECURITIES, INC.

Primary Firm SEC Registration

TRANQUILITY PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/29/2016

Series 63

Date: 5/31/2001

Series 7

Date: 5/6/1997

Series 24

Date: 7/17/2000

Current Firm

TRANQUILITY PARTNERS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRANQUILITY PARTNERS, LLC

TRUST BUT VERIFY

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