Christopher H. Baker

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CRD#: 2878523

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.

Christopher Howard Baker, who also goes by Chris Howard Baker, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Aliases

Chris Howard Baker

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 2, 2026 - July 30, 2026

CARLIN WEALTH MANAGEMENT GROUP, LLC

RIA

CRD#: 325306

WINCHESTER, MA

Past

August 23, 2024 - March 23, 2026

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

March 26, 2018 - August 23, 2024

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

December 15, 2017 - March 6, 2018

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

CRD#: 119546

DENVER, CO

Past

December 10, 2008 - December 21, 2016

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

SO. BOSTON, MA

Past

October 29, 2008 - December 21, 2016

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

August 7, 2008 - October 27, 2008

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

BOSTON, MA

Past

May 25, 2005 - June 11, 2008

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

BOSTON, MA

Past

May 22, 1997 - October 27, 2008

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

ANDOVER, MA

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".

CARLIN WEALTH MANAGEMENT GROUP, LLC

CRD#: 325306 / SEC#: 801-127464

RIA

Registered Investment Advisory firm - (3/15/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 5/10/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/2/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/3/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/20/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CARLIN WEALTH MANAGEMENT GROUP, LLC

CRD#: 325306 / SEC#: 801-127464

RIA

Registered Investment Advisory firm - (3/15/2023 Approved)

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Contact information

Main Address

4006 North Lamar Boulevard, Austin, TX 78756

Mailing Address

Phone number

(737) 414-6565

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

CWMG ADV PART 2A (1/14/2026)

Regulatory assets under management

Total Number of Accounts	1,076
AUM (Assets Under Management)	$ 240,889,754

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

Christopher H. Baker

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

CARLIN WEALTH MANAGEMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/2005

Series 63

Date: 6/2/1997

SIE

Date: 10/1/2018

Series 7

Date: 2/3/2001

Series 6

Date: 5/20/1997

Current Firm

CARLIN WEALTH MANAGEMENT GROUP, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARLIN WEALTH MANAGEMENT GROUP, LLC

TRUST BUT VERIFY

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