Gordon Ralph Baker | Financial Professional | Pensacola, Florida

Professional summary

Gordon Ralph Baker is a registered financial advisor currently at SIMPLICITY WEALTH located in Pensacola, Florida and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Gordon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Gordon has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 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.

1.) MONETA WEALTH - 12/1/2020 - 7350 E Progress Place, Suite 100, Greenwood Village, CO 80111 - Manager, Managing agents, Invt Rel, Securities and financial planning, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) CRAZY MAN PARTNERS - 12/1/2020 - 7350 E Progress Place, Suite 100, Greenwood Village, CO 80111 - Buyer/Seller, buying and selling cars and watches, Not Invt Rel, Retail business, 2 hrs/mo; 0 hrs/mo (during trading hours). 3.) TRIANGLE B HOLDINGS - 3/1/2007 - 7350 E Progress Place, Suite 100, Greenwood Village, CO 80111 - Owner, DBA for tax purposes, Not Invt Rel, Holding company, 1 hr/mo; 1 hr/mo (during trading hours). 4.) SIMPLICITY WEALTH - 11/20/2023 - 7350 E Progress Place, Suite 100, Greenwood Village, CO 80111 - Financial Advisor, Provide financial planning and advising, Invt Rel, RA business, 160 hrs/mo; 160 hrs/mo (during trading hours) 5.) MONETA INSURANCE - 12/1/2020 - 7350 E Progress Place, Suite 100, Greenwood Village, CO 80111 - Manager, managing agents, Invt Rel, Insurance business, 5 hrs/mo; 5 hrs/mo (during trading hours). 6) The Leaders Group-12/2023-26 West Dry Creek Cir Suite 800 Littleton CO ,80120-Registered Representative-investement related -Registered Rep

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gordon Ralph 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

November 21, 2023 - Present

SIMPLICITY WEALTH

Office #1: 236 W. Garden St., Pensacola, FL 32502Office #2: 7350 E. Progress Place Suite 100, Greenwood Village, CO 80111

RIA

CRD#: 300572

Pensacola, FL

Current

December 5, 2023 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

BD

CRD#: 37157

SUMMIT, NJ

Past

September 2, 2021 - November 16, 2023

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

DENVER, CO

Past

September 2, 2021 - November 16, 2023

SECURITIES AMERICA, INC.

BD

CRD#: 10205

DENVER, CO

Past

January 6, 2012 - September 3, 2021

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

GREENWOOD VILLAGE, CO

Past

January 6, 2012 - September 3, 2021

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD

CRD#: 16164

GREENWOOD VILLAGE, CO

Past

February 13, 2009 - January 6, 2012

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

GREENWOOD VILLAGE, CO

Past

July 28, 2008 - January 6, 2012

WORLD GROUP SECURITIES, INC.

BD

CRD#: 114473

GREENWOOD VILLAGE, CO

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".

SIMPLICITY WEALTH

CRD#: 300572 / SEC#: 801-114798

RIA

Registered Investment Advisory firm - (3/11/2019 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.

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

Arizona
(12/5/2023)

IAR

Arizona
(1/17/2024)

IAR

Colorado
(11/21/2023)

RR

Colorado
(12/5/2023)

RR

Florida
(12/8/2023)

RR

Idaho
(1/2/2024)

RR

Louisiana
(1/2/2024)

RR

Minnesota
(1/31/2024)

RR

Utah
(1/2/2024)

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 65

Date: 1/31/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 12/31/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 6

Date: 7/26/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

RR

FINRA

Current Firm

SIMPLICITY WEALTH

CRD#: 300572 / SEC#: 801-114798

RIA

Registered Investment Advisory firm - (3/11/2019 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

475 Springfield Ave. Suite #1, Summit, NJ 07901

Mailing Address

Phone number

(844) 220-8326

Established

Firm type

Fiscal year end

# of Employees

242

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIMPLICITY WEALTH, LLC ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	10,573
AUM (Assets Under Management)	$ 3,598,410,848

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gordon R. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gordon Ralph Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

Primary Firm SEC Registration

SIMPLICITY WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2009

Series 63

Date: 12/31/2008

SIE

Date: 10/1/2018

Series 6

Date: 7/26/2008

FINRA

Current Firm

SIMPLICITY WEALTH

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIMPLICITY WEALTH

TRUST BUT VERIFY

Similar Advisors