Sammie J. Baker

CIVITAS FINANCIAL

Fort Mill, SC

CRD#: 4132203

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Professional summary

Sammie James Baker II, who also goes by Sam Baker, Sammie J Baker II, is a registered financial advisor currently at CIVITAS FINANCIAL LLC located in Fort Mill, South Carolina.

Sammie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Sammie has worked at 6 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam Baker | Sammie J Baker Ii

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 Sammie James Baker II's 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 2, 2026 - Present

CIVITAS FINANCIAL LLC

RIA

CRD#: 338379

Fort Mill, SC

Past

February 15, 2023 - March 11, 2024

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

Charlotte, NC

Past

September 3, 2021 - December 31, 2022

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

Charlotte, NC

Past

November 12, 2007 - February 19, 2009

OSAIC FS, INC.

CRD#: 3870

CHARLOTTE, NC

Past

November 11, 2003 - October 2, 2007

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

FORT MILL, SC

Past

September 1, 2000 - August 27, 2003

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

CINCINNATI, OH

Past

April 24, 2000 - September 1, 2000

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

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

South Carolina
(5/2/2026)

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: 9/3/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/4/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 4/21/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/8/2001

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CIVITAS FINANCIAL LLC

CRD#: 338379 / SEC#:

Indiana

Registered Investment Advisory firm - (8/29/2025 Approved)

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Contact information

Main Address

7820 Innovation Blvd Ste 225, Indianapolis, IN 46278

Mailing Address

Phone number

(317) 956-2027

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 25,000

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

Sammie J. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sammie James Baker II's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRADIENT ADVISORS, LLC

GRADIENT ADVISORS, LLC

OSAIC FS, INC.

SECURITIES MANAGEMENT & RESEARCH, INC.

W&S BROKERAGE SERVICES, INC.

CINCINNATI ANALYSTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/3/2019

Series 63

Date: 5/4/2000

Series 6

Date: 4/21/2000

Series 26

Date: 2/8/2001

Current Firm

CIVITAS FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CIVITAS FINANCIAL LLC

TRUST BUT VERIFY

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