Andrew C. Baker
Professional summary
Andrew Charles Baker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Andrew had worked at 3 firms, which includes TRUIST ADVISORY SERVICES INC., TRUIST INVESTMENT SERVICES INC., WELLS FARGO CLEARING SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2016 - October 30, 2018
TRUIST ADVISORY SERVICES, INC.
February 24, 2014 - October 30, 2018
TRUIST INVESTMENT SERVICES, INC.
February 11, 2014 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
February 12, 2008 - February 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 10, 2007 - February 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
