Joshalyn R. Baca

HS WEALTH PARTNERS

HERMITAGE, TN

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CRD#: 4043144

Professional summary

Joshalyn Rae Baca is a registered financial advisor currently at HS WEALTH PARTNERS located in Hermitage, Tennessee.

Joshalyn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Joshalyn has worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 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.

Licensed insurance agent; Not investment-related; 316 Osuna Rd NE Suite 400, , Albuquerque, NM. 87107; Insurance sales; Implementation of insurance recommendations; Approx. 5% of time during the month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshalyn Rae Baca'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 9, 2024 - Present

HS WEALTH PARTNERS

RIA

CRD#: 330640

HERMITAGE, TN

Past

November 30, 2017 - May 17, 2024

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Albuquerque, NM

Past

November 30, 2017 - May 17, 2024

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Albuquerque, NM

Past

November 7, 2008 - December 10, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ALBUQUERQUE, NM

Past

November 7, 2008 - December 10, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ALBUQUERQUE, NM

Past

April 2, 2007 - November 10, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

ALBUQUERQUE, NM

Past

April 2, 2007 - November 10, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

ALBUQUERQUE, NM

Past

June 27, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ALBUQUERQUE, NM

Past

April 2, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

ALBUQUERQUE, NM

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".

HS WEALTH PARTNERS

HS WEALTH PARTNERS | TIGEROAK MANAGEMENT, LLC

CRD#: 330640 / SEC#: 801-129998

RIA

Registered Investment Advisory firm - (5/6/2024 Approved)

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

New Mexico
(5/9/2024)

IAR

Tennessee
(2/3/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/17/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/8/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 4/26/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/1/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/13/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/7/2005

General Securities Sales Supervisor - Options Module Examination

Current Firm

HS WEALTH PARTNERS

HS WEALTH PARTNERS | TIGEROAK MANAGEMENT, LLC

CRD#: 330640 / SEC#: 801-129998

RIA

Registered Investment Advisory firm - (5/6/2024 Approved)

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Contact information

Main Address

25 Music Square East Suite 200, Nashville, TN 37203

Mailing Address

Phone number

(505) 361-2223

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HS WEALTH PARTNERS DISCLOSURE BROCHURE (8/4/2025)

Regulatory assets under management

Total Number of Accounts	578
AUM (Assets Under Management)	$ 397,587,843

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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Joshalyn R. Baca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshalyn Rae Baca's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

HS WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 5/17/2002

SIE

Date: 10/1/2018

Series 3

Date: 9/8/2009

Series 31

Date: 4/26/2002

Series 7

Date: 4/1/2002

Series 10

Date: 8/13/2005

Series 9

Date: 5/7/2005

Current Firm

HS WEALTH PARTNERS

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HS WEALTH PARTNERS

TRUST BUT VERIFY

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