Brian C. Baker

MCNALLY FINANCIAL SERVICES

Kingwood, TX

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CRD#: 3263146

Professional summary

Brian Charles Baker is a registered financial advisor currently at MCNALLY FINANCIAL SERVICES CORPORATION located in Kingwood, Texas.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Brian has worked at 11 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 31, Series 7 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blue Bridge Financial, Not Investment Related, 11921 Freedom Drive, Reston, Virginia 20190, Private Credit, Consultant, 02/01/2025, 20 hours, 20 hours, Consults on ways to raise capital for private credit offering.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Charles Baker's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brian Charles Baker'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

June 27, 2025 - Present

MCNALLY FINANCIAL SERVICES CORPORATION

RIA

CRD#: 121196

Kingwood, TX

Current

February 26, 2025 - Present

MCNALLY FINANCIAL SERVICES CORPORATION

Office #1: 16414 San Pedro Suite 930, San Antonio, TX 78232

RIA

CRD#: 121196

San Antonio, TX

Past

December 1, 2023 - February 11, 2025

TRITON PACIFIC SECURITIES, LLC

CRD#: 139919

EL SEGUNDO, CA

Past

March 1, 2022 - December 31, 2022

D.H. HILL SECURITIES, LLLP

CRD#: 41528

KINGWOOD, TX

Past

July 9, 2019 - June 10, 2020

LOCORR DISTRIBUTORS, LLC

CRD#: 41782

EXCELSIOR, MN

Past

April 27, 2017 - July 12, 2019

G.DISTRIBUTORS, LLC

CRD#: 155071

RYE, NY

Past

April 17, 2013 - April 20, 2017

TRIVE NEW YORK LLC

CRD#: 21946

NEW YORK, NY

Past

August 19, 2010 - February 1, 2013

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

BLACKLICK, OH

Past

January 24, 2007 - August 2, 2010

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

June 9, 2005 - January 22, 2007

AIM PRIVATE ASSET MANAGEMENT

RIA

CRD#: 109264

HOUSTON, TX

Past

March 6, 2001 - January 22, 2007

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

September 27, 1999 - December 14, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(2/26/2025)

IAR

California
(6/27/2025)

Nevada
(2/26/2025)

IAR

Nevada
(6/27/2025)

Texas
(2/26/2025)

IAR

Texas
(6/27/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/26/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/14/2022

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/6/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/16/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 11/16/2022

NFA Branch Manager Examination

SRO Registrations

FINRA

Current Firm

MCNALLY FINANCIAL SERVICES CORPORATION

CRD#: 121196 / SEC#: , 8-65388

California

Registered Investment Advisory firm - SEC (11/9/2009 Approved)

Florida

Registered Investment Advisory firm - SEC (3/4/2016 Approved)

Nevada

Registered Investment Advisory firm - SEC (8/27/2014 Approved)

North Carolina

Registered Investment Advisory firm - SEC (10/10/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (8/20/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

16414 San Pedro Suite 930, San Antonio, TX 78232-5185

Mailing Address

P.o. Box 701928, San Antonio, TX 78270-1928

Phone number

(210) 545-7080

Established

Texas since 04/11/2002

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (43 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MCNALLY, DAVID DORN	CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER	839798

Regulatory assets under management

Total Number of Accounts	142
AUM (Assets Under Management)	$ 25,149,615

Disclosures

Regulatory Event

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

Brian C. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Charles Baker's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brian Charles Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCNALLY FINANCIAL SERVICES CORPORATION

TRITON PACIFIC SECURITIES, LLC

D.H. HILL SECURITIES, LLLP

LOCORR DISTRIBUTORS, LLC

G.DISTRIBUTORS, LLC

TRIVE NEW YORK LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

GUARDIAN INVESTOR SERVICES LLC

AIM PRIVATE ASSET MANAGEMENT

INVESCO DISTRIBUTORS, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/26/2025

Series 63

Date: 9/23/1999

Series 3

Date: 11/14/2022

SIE

Date: 10/1/2018

Series 31

Date: 10/6/1999

Series 7

Date: 9/16/1999

Series 30

Date: 11/16/2022

FINRA

Current Firm

MCNALLY FINANCIAL SERVICES CORPORATION

Contact information

FINRA licenses (43 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MCNALLY FINANCIAL SERVICES CORPORATION

TRUST BUT VERIFY

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