David R. Baker

93 FINANCIAL GROUP

Woburn, MA 01801

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CRD#: 4119803

Professional summary

David Robert Baker, who also goes by David R. Baker, David Robert Baker, David Baker, is a registered financial advisor currently at 93 FINANCIAL GROUP, LLC located in Woburn, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David R. Baker | David Robert Baker | David 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) - RIA

Click below to view David Robert 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

April 13, 2018 - Present

93 FINANCIAL GROUP, LLC

Office #1: 600 Unicorn Park Drive, Woburn, MA 01801

RIA

CRD#: 144235

Woburn, MA

Past

August 29, 2016 - March 12, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CHELMSFORD, MA

Past

August 15, 2016 - March 12, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CHELMSFORD, MA

Past

December 3, 2014 - August 11, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LINCOLN, RI

Past

December 3, 2014 - August 11, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LINCOLN, RI

Past

June 3, 2013 - October 10, 2014

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

BRAINTREE, MA

Past

August 20, 2012 - October 10, 2014

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

BRAINTREE, MA

Past

August 22, 2011 - August 20, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEEDHAM, MA

Past

August 17, 2011 - August 20, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEEDHAM, MA

Past

October 23, 2009 - September 14, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WALTHAM, MA

Past

October 23, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

WALTHAM, MA

Past

August 16, 2006 - October 14, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

WALTHAM, MA

Past

October 22, 2004 - June 10, 2005

OGILVIE SECURITY ADVISORS CORPORATION

CRD#: 10105

CHICAGO, IL

Past

June 29, 2001 - September 20, 2004

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

April 10, 2000 - December 15, 2000

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

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".

93 FINANCIAL GROUP, LLC

CRD#: 144235 / SEC#: 801-78076

RIA

Registered Investment Advisory firm - (5/31/2013 Approved)

Massachusetts

Registered Investment Advisory firm - (6/18/2013 Terminated)

New Hampshire

Registered Investment Advisory firm - (6/7/2013 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.

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

Massachusetts
(4/13/2018)

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: 3/15/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/3/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/7/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/16/2005

General Securities Principal Examination

Current Firm

93 FINANCIAL GROUP, LLC

CRD#: 144235 / SEC#: 801-78076

RIA

Registered Investment Advisory firm - (5/31/2013 Approved)

Massachusetts

Registered Investment Advisory firm - (6/18/2013 Terminated)

New Hampshire

Registered Investment Advisory firm - (6/7/2013 Terminated)

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Contact information

Main Address

600 Unicorn Park Drive, Woburn, MA 01801

Mailing Address

Phone number

(781) 938-6361

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	2,438
AUM (Assets Under Management)	$ 780,342,669

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

David R. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

OGILVIE SECURITY ADVISORS CORPORATION

1717 CAPITAL MANAGEMENT COMPANY

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

93 FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/15/2011

Series 63

Date: 3/28/2000

SIE

Date: 3/12/2018

Series 7

Date: 12/3/2002

Series 6

Date: 4/7/2000

Series 24

Date: 3/16/2005

Current Firm

93 FINANCIAL GROUP, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

93 FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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