Aaron M. Baker

BAKER & ASSOCIATES REGISTERED INVESTMENT ADVISORS

San Leandro, CA

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CRD#: 4388969

Professional summary

Aaron Mckinley Baker is a registered financial advisor currently at BAKER & ASSOCIATES REGISTERED INVESTMENT ADVISORS, LLC located in San Leandro, California.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Aaron has worked at 8 firms and has passed the Series 65, Series 63 and Series 7 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.

Investment sales and and service with Brinker Capital and Verity Advisors sales agreements. Independent contractor insurance sales agreements with Teachers Pensions (Nov 2020), SYNCIS (Jan. 2021) and WFGHost (Oct. 2021)Insurance sales and service overlap with the sale of securities. Advisory services began June of 2021. I estimate that insurance sales consumes approximately 30%, business consulting 30% and financial Advising 40% of my total work effort. Selling Agreements Brinker Capital Investments, 1055 Westlakes Dr # 250, Berwyn, PA 19312 (610) 407-5500) Teachers Pensions, 213 South Sierra Ave Oakdale, CA 95361 (1-800-474-1440) Verity Advisors, 800 Bering Drive, Suite 225, Houston, Texas 77057; (832) 831-9353 SYNCIS Insurance Solutions, 301 E Ocean Blvd Suite 1170 Long Beach, CA 90802 (424) 233-1938) WFGhost, 11315 Johns Creek Pkwy, Johns Creek, GA 30097 (770-246-9889)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Mckinley Baker'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

January 11, 2017 - Present

BAKER & ASSOCIATES REGISTERED INVESTMENT ADVISORS, LLC

RIA

CRD#: 170951

San Leandro, CA

Past

July 11, 2014 - December 31, 2016

BAKER & ASSOCIATES REGISTERED INVESTMENT ADVISORS, LLC

RIA

CRD#: 103965

SAN FRANCISCO, CA

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

California
(1/11/2017)

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: 4/17/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/14/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/4/2001

General Securities Representative Examination

Current Firm

BAKER & ASSOCIATES REGISTERED INVESTMENT ADVISORS, LLC

BAKER & ASSOCIATES INVESTMENT ADVISORS | BAKER, AARON M. | BAKER & ASSOCIATES, REGISTERED INVESTMENT ADVISORSA | BAKER & ASSOCIATES REGISTERED INVESTMENT ADVISORS, LLC

CRD#: 170951 / SEC#:

California

Registered Investment Advisory firm - (1/11/2017 Approved)

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Contact information

Main Address

San Leandro, CA

Mailing Address

Phone number

(510) 325-0676

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 140,000

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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Aaron M. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Mckinley Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAKER & ASSOCIATES REGISTERED INVESTMENT ADVISORS, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

BAKER & ASSOCIATES INVESTMENT ADVISORS

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

QUANTUM PRIVATE ASSETS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/17/2004

Series 63

Date: 8/14/2002

Series 7

Date: 5/4/2001

Current Firm

BAKER & ASSOCIATES REGISTERED INVESTMENT ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BAKER & ASSOCIATES REGISTERED INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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