Joseph D. Baker
BALLAST FINANCIAL ADVISORS
GEORGETOWN, DE 19947
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CRD#: 5739173
Professional summary
Joseph David Baker, CFP® is a registered financial advisor currently at BALLAST FINANCIAL ADVISORS, LLC located in Georgetown, Delaware.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Joseph has worked at 4 firms and has passed the Series 66, Series 82TO, Series 6TO, Series 52TO, Series 22TO, Series 99TO, SIE 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.
1)Real Estate Ownership; Single Family ; Not investment related; July 2014. Business Ownership; Rental property; Co-owner; Residential Property that I am a co-owner of and rent out; 1 hour per month 2)Ballast Financial Advisors, LLC / Investment Related / Georgetown, DE / Registered Investment Advisor / Aug 2019 / Managing Member and CCO / 150 Hours per month / 100% During trading hours 3)Ballast & Associates, LLC / Not Investment Related / Georgetown, DE / CPA Firm / Tax Advisory / Owner / Nov 2020 / 10 Hours per month / 100% During trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Joseph David 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®
CFP®
Start date: 2016
Experience
Current
August 13, 2019 - Present
BALLAST FINANCIAL ADVISORS, LLC
Office #1: 33 The Cir., Georgetown, DE 19947RIA
CRD#: 304430
GEORGETOWN, DE
Past
June 29, 2022 - March 15, 2023
ORIGIN INVESTMENT ADVISORY LLC
RIA
CRD#: 305353
Georgetown, DE
Past
August 13, 2019 - February 4, 2021
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Georgetown, DE
Past
March 8, 2010 - August 19, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
West Chester, PA
Past
February 19, 2010 - August 19, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
West Chester, 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".
BF
BALLAST FINANCIAL ADVISORS, LLC
ANCHOR CAPITAL MANAGEMENT | BFACFP, LLC | BALLAST FINANCIAL ADVISORS, LLC | BALLAST FINANCIAL ADVISORS | ANCHOR CAPITAL MANAGEMENT LLC
CRD#: 304430 / SEC#: 801-117158
RIA
Registered Investment Advisory firm - (8/13/2019 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.Highlighted states indicate IAR registrations
IAR
Delaware(8/13/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
BF
BALLAST FINANCIAL ADVISORS, LLC
ANCHOR CAPITAL MANAGEMENT | BFACFP, LLC | BALLAST FINANCIAL ADVISORS, LLC | BALLAST FINANCIAL ADVISORS | ANCHOR CAPITAL MANAGEMENT LLC
CRD#: 304430 / SEC#: 801-117158
RIA
Registered Investment Advisory firm - (8/13/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
535 N. Church St. Suite 205, West Chester, PA 19380
Mailing Address
Phone number
(484) 266-7281
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,378 |
| AUM (Assets Under Management) | $ 276,381,883 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BALLAST FINANCIAL ADVISORS, LLC
CRD#: 304430Georgetown, DE 19947TRUST BUT VERIFY
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