SB
Samuel D. Baez
KEY FINANCIAL
West Chester, PA 19380
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CRD#: 5726041
SB
Professional summary
Samuel David Baez JR., CFP®, who also goes by Samuel David Baez, is a registered financial advisor currently at KEY FINANCIAL, INC. located in West Chester, Pennsylvania and OSAIC WEALTH, INC. located in West Chester, Pennsylvania.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Samuel has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Samuel David Baez
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. KEY FINANCIAL, INC POSITION: n/a NATURE: n/a INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2012 ADDRESS: 1045 Andrew Drive, Suite A, West Chester PA 19380, United States DESCRIPTION: Assisting Patricia Brennan with trading, portfolio rebalancing and communicating financial planning and investment related concepts with Patricia's clients.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel David Baez JR.'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®
CFP®
Start date: 2021
Experience
Current
October 23, 2013 - Present
KEY FINANCIAL, INC.
Office #1: 1045a Andrew Drive, West Chester, PA 19380RIA
CRD#: 116240
West Chester, PA
Current
February 23, 2012 - Present
OSAIC WEALTH, INC.
Office #1: 1045 Andrew Drive Suite A, West Chester, PA 19380RIA
BD
CRD#: 23131
West Chester, PA
Past
December 14, 2009 - November 9, 2011
EDWARD JONES
RIA
CRD#: 250
GLENMOORE, PA
Past
November 26, 2009 - November 9, 2011
EDWARD JONES
BD
CRD#: 250
GLENMOORE, PA
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".
KF
KEY FINANCIAL, INC.
KEY FINANCIAL, INC.
CRD#: 116240 / SEC#: 801-107742
RIA
Registered Investment Advisory firm - (5/5/2016 Approved)Delaware
Registered Investment Advisory firm - (5/11/2016 Terminated)Florida
Registered Investment Advisory firm - (5/11/2016 Terminated)Maryland
Registered Investment Advisory firm - (7/18/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (5/11/2016 Terminated)North Carolina
Registered Investment Advisory firm - (5/16/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/12/2016 Terminated)South Carolina
Registered Investment Advisory firm - (5/11/2016 Terminated)Texas
Registered Investment Advisory firm - (5/11/2016 Terminated)Virginia
Registered Investment Advisory firm - (5/11/2016 Terminated)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
Pennsylvania(2/23/2012)
IAR
Pennsylvania(10/23/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KF
KEY FINANCIAL, INC.
KEY FINANCIAL, INC.
CRD#: 116240 / SEC#: 801-107742
RIA
Registered Investment Advisory firm - (5/5/2016 Approved)Delaware
Registered Investment Advisory firm - (5/11/2016 Terminated)Florida
Registered Investment Advisory firm - (5/11/2016 Terminated)Maryland
Registered Investment Advisory firm - (7/18/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (5/11/2016 Terminated)North Carolina
Registered Investment Advisory firm - (5/16/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/12/2016 Terminated)South Carolina
Registered Investment Advisory firm - (5/11/2016 Terminated)Texas
Registered Investment Advisory firm - (5/11/2016 Terminated)Virginia
Registered Investment Advisory firm - (5/11/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1045a Andrew Drive, West Chester, PA 19380
Mailing Address
Phone number
(610) 429-9050
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,622 |
| AUM (Assets Under Management) | $ 2,457,029,591 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
