William M. Baker

W.M. BAKER INVESTMENTS LLC

Dublin, OH

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CRD#: 5320850

Professional summary

William Matthew Baker is a registered financial advisor currently at W.M. BAKER INVESTMENTS LLC located in Dublin, Ohio.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. William has worked at 3 firms and has passed the Series 65 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Matthew 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

July 18, 2012 - Present

W.M. BAKER INVESTMENTS LLC

RIA

CRD#: 164490

Dublin, OH

Past

December 19, 2011 - July 26, 2012

TRAFALGAR WEALTH MANAGEMENT, LLC

RIA

CRD#: 154511

DUBLIN, OH

Past

May 30, 2007 - September 15, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

COLUMBUS, OH

Past

May 25, 2007 - September 15, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

COLUMBUS, OH

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

Ohio
(7/18/2012)

IAR

Texas
(7/19/2012)

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: 3/6/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 5/24/2007

General Securities Representative Examination

Current Firm

W.M. BAKER INVESTMENTS LLC

CRD#: 164490 / SEC#:

Ohio

Registered Investment Advisory firm - (7/3/2012 Approved)

Texas

Registered Investment Advisory firm - (6/14/2012 Conditional Restricted)

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Contact information

Main Address

Dublin, OH

Mailing Address

Phone number

(216) 210-5995

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	42
AUM (Assets Under Management)	$ 5,000,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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William M. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Matthew Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

W.M. BAKER INVESTMENTS LLC

TRAFALGAR WEALTH MANAGEMENT, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/6/2012

Series 7

Date: 5/24/2007

Current Firm

W.M. BAKER INVESTMENTS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

W.M. BAKER INVESTMENTS LLC

TRUST BUT VERIFY

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