Adam S. Baker

BOK FINANCIAL SECURITIES

Scottsdale, AZ 85260

Some features on this profile are disabled

CRD#: 4931050

Professional summary

Adam Seth Baker, who also goes by Adam S Baker, is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Scottsdale, Arizona and BOK FINANCIAL PRIVATE WEALTH, INC. located in Scottsdale, Arizona.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Adam has worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam S 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.

1)Name: Rental property Investment related (y/n): N Start date: 09/2023 Position held: property manager Nature of outside business: rental property Hrs/mo: 0 Hrs/mo during securities trading: 0 Brief description of duties: managing rental property; spouse will handle all duties of manager

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Seth 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 30, 2021 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 16767 N. Perimeter Dr. Ste. 200, Scottsdale, AZ 85260

RIA

CRD#: 17530

Scottsdale, AZ

Current

January 11, 2022 - Present

BOK FINANCIAL PRIVATE WEALTH, INC.

Office #1: 16767 N Perimeter Drive Suite 200, Scottsdale, AZ 85260

RIA

CRD#: 106733

SCOTTSDALE, AZ

Current

November 9, 2020 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 16767 N. Perimeter Dr. Ste. 200, Scottsdale, AZ 85260

RIA

CRD#: 17530

Scottsdale, AZ

Past

October 23, 2008 - May 15, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

SCOTTSDALE, AZ

Past

October 1, 2008 - October 8, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

SCOTTSDALE, AZ

Past

February 29, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

RIA

CRD#: 18718

SCOTTSDALE, AZ

Past

June 5, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

SCOTTSDALE, AZ

Past

July 6, 2005 - May 23, 2007

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SEDONA, AZ

Past

April 7, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

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".

BOK FINANCIAL PRIVATE WEALTH, INC.

CRD#: 106733 / SEC#: 801-51401

RIA

Registered Investment Advisory firm - (3/6/1996 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.

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

Arizona
(11/13/2020)

IAR

Arizona
(4/30/2021)

California
(5/17/2024)

IAR

Colorado
(4/24/2023)

Florida
(9/7/2023)

Idaho
(5/21/2024)

Kansas
(2/3/2023)

Massachusetts
(12/18/2024)

New Mexico
(4/16/2021)

Oklahoma
(8/23/2023)

Texas
(2/6/2023)

IAR

Texas
(4/25/2023)

Washington
(12/19/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/16/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/14/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/23/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/6/2005

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

BOK FINANCIAL PRIVATE WEALTH, INC.

CRD#: 106733 / SEC#: 801-51401

RIA

Registered Investment Advisory firm - (3/6/1996 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1600 Broadway 4th Floor, Denver, CO 80202

Mailing Address

Phone number

(303) 539-0100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BOK FINANCIAL PRIVATE WEALTH, INC., FORM ADV PART 2A JUNE 2025 (6/17/2025)

Regulatory assets under management

Total Number of Accounts	2,179
AUM (Assets Under Management)	$ 3,185,223,176

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2025	Cover Page	Report
12/18/2024	Cover Page	Report
08/25/2023	Cover Page	Report
09/26/2022	Cover Page	Report

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Adam S. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Seth Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOK FINANCIAL PRIVATE WEALTH, INC.

BOK FINANCIAL SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

BOK FINANCIAL PRIVATE WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/16/2021

Series 63

Date: 4/14/2005

Series 7

Date: 8/23/2007

Series 6

Date: 4/6/2005

FINRA

Current Firm

BOK FINANCIAL PRIVATE WEALTH, INC.

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BOK FINANCIAL PRIVATE WEALTH, INC.

TRUST BUT VERIFY

Similar Advisors