Joseph David Baker
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Credentials
Years of Experience
16 years in the financial services industry
Current & Past Employments
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Current Firm
ANCHOR CAPITAL MANAGEMENT | BFACFP, LLC | BALLAST FINANCIAL ADVISORS, LLC | BALLAST FINANCIAL ADVISORS | ANCHOR CAPITAL MANAGEMENT LLC
Contact Information
Main Address
535 N. Church St. Suite 205, West Chester, PA 19380Phone Number
(484) 266-7281# of Employees
5SEC notice filing (13 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,573AUM (Assets Under Management)
$342,648,784Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ANCHOR CAPITAL MANAGEMENT | BFACFP, LLC | BALLAST FINANCIAL ADVISORS, LLC | BALLAST FINANCIAL ADVISORS | ANCHOR CAPITAL MANAGEMENT LLC
State Registrations and Notice Filings
(8/13/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph David Baker's CRS (Customer Relationship Summary).
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