Jeremy S. Baker

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CRD#: 3244172

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.

Jeremy S Baker, who also goes by Jeremy Scott Baker, was a registered financial professional .

Jeremy is a previously registered financial professional and started their career in finance in 1999. Jeremy had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeremy Scott 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.

1.) Insurance Agent; Life Insurance Rep; Approximate Number Of Hours Spent On Activity Per Month: 45; Approximate Number Of Hours Spent On Activity Per Month During Trading Hours: 18; estimated Annual Income: 20K 2.) Peak Brokerage Services, LLC, investment related, Palm Beach Gardens, FL, Broker Dealer, Registered Support Staff, Start Date 03/2017, approximately 5 hours/month devoted to this business with all hours during securities trading hours

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

August 31, 2021 - January 21, 2025

THE RETIREMENT GUYS FORMULA

RIA

CRD#: 168561

MAUMEE, OH

Past

March 7, 2018 - January 10, 2025

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045

Maumee, OH

Past

June 26, 2017 - January 11, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

YPSILANTI, MI

Past

April 23, 2008 - July 23, 2012

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

TROY, MI

Past

August 25, 1999 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 25, 1999 - February 2, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

NOVI, MI

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".

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CRD#: 168561 / SEC#: 801-119086

RIA

Registered Investment Advisory firm - (7/20/2020 Approved)

Michigan

Registered Investment Advisory firm - (7/23/2020 Terminated)

Ohio

Registered Investment Advisory firm - (7/23/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/24/2020 Terminated)

South Carolina

Registered Investment Advisory firm - (7/22/2020 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2020 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.

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 66

Date: 8/6/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/27/1999

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: 6/26/2017

General Securities Representative Examination

Current Firm

THE RETIREMENT GUYS FORMULA

CRD#: 168561 / SEC#: 801-119086

RIA

Registered Investment Advisory firm - (7/20/2020 Approved)

Michigan

Registered Investment Advisory firm - (7/23/2020 Terminated)

Ohio

Registered Investment Advisory firm - (7/23/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/24/2020 Terminated)

South Carolina

Registered Investment Advisory firm - (7/22/2020 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2020 Terminated)

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Contact information

Main Address

1700 Woodlands Drive, Maumee, OH 43537

Mailing Address

Phone number

(419) 842-0550

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RGF ADV PART 2A BROCHURE (2/25/2025)

Regulatory assets under management

Total Number of Accounts	1,991
AUM (Assets Under Management)	$ 300,603,838

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

Jeremy S. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PEAK BROKERAGE SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THE RETIREMENT GUYS FORMULA

State Registrations and Notice Filings

Exams

Series 66

Date: 8/6/2021

Series 63

Date: 8/27/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/26/2017

Current Firm

THE RETIREMENT GUYS FORMULA

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

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