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JB

James S. Baker

VOYA FINANCIAL PARTNERS
Scottsdale, AZ 85258
Some features on this profile are disabled
CRD#: 5250418
JB

Professional summary

James Stace Baker is a registered financial professional currently at VOYA FINANCIAL PARTNERS, LLC located in Scottsdale, Arizona.

James is registered as a RR (Registered Representative) and started their career in finance in 2006. James has worked at 2 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Stace 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

June 1, 2020 - Present

VOYA FINANCIAL PARTNERS, LLC

Office #1: 7337 E. Doubletree Ranch Rd., Scottsdale, AZ 85258
BD
CRD#: 34815
Scottsdale, AZ
Past

September 25, 2009 - January 20, 2016

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
OMAHA, NE
Past

June 19, 2007 - January 20, 2016

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
OMAHA, NE
Past

November 30, 2006 - June 4, 2007

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Iowa
(6/19/2020)
RR
Minnesota
(6/23/2020)
RR
Nebraska
(6/5/2020)
RR
Texas
(11/6/2024)
RR
Wisconsin
(6/22/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 6/5/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/23/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 6/1/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/1/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/1/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/29/2006
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VF
VOYA FINANCIAL PARTNERS, LLC
AETNA INVESTMENT SERVICES LLC | VOYA FINANCIAL PARTNERS, LLC | ING FINANCIAL ADVISERS, LLC | AETNA INVESTMENT SERVICES, LLC | AETNA INVESTMENT SERVICES, INC.

CRD#: 34815 / SEC#: 801-57637, 8-46451

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Orange Way, C2n, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
(860) 275-2110
Established
Delaware since 11/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
55

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

VOYA FINANCIAL PARTNERS, LLC - FORM ADV PART 2A BROCHURE (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
VOYA RETIREMENT INSURANCE AND ANNUITY COMPANYPARENT
BOHN, FREDERICK HENRYCHIEF FINANCIAL OFFICER5791728
EASTON, STEPHEN JOSEPHCHIEF COMPLIANCE OFFICER3150168
ELMSLIE, WILLIAM PETERMANAGING DIRECTOR1970014

Disclosures

Regulatory Event7

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

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815Scottsdale, AZ 85258

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