Robert L. Baker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert L Baker JR, who also goes by Bob Baker, Robert L Baker, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2006. Robert had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2018 - December 4, 2019
ASSET ALLOCATION STRATEGIES, LLC
May 1, 2018 - December 4, 2019
GLP INVESTMENT SERVICES, LLC
June 30, 2017 - January 8, 2018
CITIZENS SECURITIES, INC.
April 12, 2016 - January 8, 2018
CITIZENS SECURITIES, INC.
August 22, 2012 - February 22, 2016
ESSEX NATIONAL SECURITIES, LLC
April 9, 2010 - July 3, 2012
THE HUNTINGTON INVESTMENT COMPANY
February 8, 2006 - March 22, 2010
WADDELL & REED
Primary Firm SEC Registration
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339 / SEC#: 801-106707
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339 / SEC#: 801-106707
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,883 |
| AUM (Assets Under Management) | $ 767,431,598 |
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.
