Scott Baker
Professional summary
Scott Baker, who also goes by Scott Andrew Baker, is a registered financial professional currently at SECURIAN FINANCIAL SERVICES, INC. located in St. Paul, Minnesota.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1999. Scott has worked at 5 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Baker's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 18, 2026 - Present
SECURIAN FINANCIAL SERVICES, INC.
Office #1: 400 Robert Street North, St. Paul, MN 55101-2098January 1, 2007 - March 13, 2018
RIVERSOURCE DISTRIBUTORS, INC.
May 18, 2006 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
April 13, 2001 - March 17, 2006
ALLIANZ LIFE FINANCIAL SERVICES, LLC
November 12, 1999 - February 26, 2001
WOODBURY FINANCIAL SERVICES, INC.
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
Series 6TO
Date: 6/18/2026
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
Red Flags
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