TB
Theodore J. Baker
UNITED CAPITAL FINANCIAL ADVISORS
MOLINE, IL 61265
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CRD#: 4800873
TB
Professional summary
Theodore Jason Baker is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Moline, Illinois and INTEGRITY ALLIANCE, LLC. located in Bettendorf, Iowa.
Theodore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Theodore has worked at 8 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 87, Series 86 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.
1. UNITED CAPITAL FINANCIAL ADVISORS, LLC POSITION: Employee NATURE: Investment management and financial planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 9 START DATE: 03/15/2019 ADDRESS: 1523 Grant St, Bettendorf IA 52722, United States DESCRIPTION: I am a financial advisor and work with clients developing financial strategies designed to meet their financial needs.
CRS (Client Relationship Summary) - RIA
Click below to view Theodore Jason 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®
NoneExperience
Current
March 29, 2019 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 1509 River Drive, Moline, IL 61265RIA
CRD#: 134600
MOLINE, IL
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 1523 Grant Street Suite 402, Bettendorf, IA 52722RIA
BD
CRD#: 139627
Bettendorf, IA
Past
March 19, 2024 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
Bettendorf, IA
Past
February 4, 2023 - November 14, 2023
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
August 3, 2010 - March 1, 2012
LEADING LINE, LLC
RIA
CRD#: 154291
MOLINE, IL
Past
March 31, 2009 - March 29, 2019
IRONGATE INTERNATIONAL, L.L.C.
RIA
CRD#: 119818
MOLINE, IL
Past
August 30, 2007 - May 21, 2008
CRAIG-HALLUM CAPITAL GROUP LLC
BD
CRD#: 121395
MINNEAPOLIS, MN
Past
October 22, 2004 - August 30, 2007
IRONGATE INTERNATIONAL, L.L.C.
RIA
CRD#: 119818
MOLINE, IL
Past
June 18, 2004 - October 25, 2004
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/3/2025)
RR
Colorado(11/3/2025)
IAR
Illinois(3/29/2019)
RR
Illinois(11/3/2025)
RR
Indiana(11/3/2025)
IAR
Iowa(3/29/2019)
RR
Iowa(11/3/2025)
RR
Minnesota(11/3/2025)
RR
Pennsylvania(11/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/4/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
Company Information
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600Moline, IL 61265TRUST BUT VERIFY
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