Dustin L. Baker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dustin Lee Baker, CFP®, who also goes by Dustin L Baker, was a registered financial professional .
Dustin is a previously registered financial professional and started their career in finance in 2012. Dustin had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2016
Experience
July 25, 2022 - November 30, 2022
COOPER/HAIMS ADVISORS, LLC
July 11, 2017 - July 1, 2022
ESL INVESTMENT SERVICES, LLC
July 7, 2017 - July 29, 2022
LPL FINANCIAL LLC
July 7, 2017 - July 29, 2022
LPL FINANCIAL LLC
January 5, 2017 - July 5, 2017
PARK AVENUE SECURITIES LLC
December 20, 2016 - July 5, 2017
PARK AVENUE SECURITIES LLC
September 21, 2016 - December 19, 2016
KEY INVESTMENT SERVICES LLC
September 21, 2016 - December 19, 2016
KEY INVESTMENT SERVICES LLC
April 24, 2015 - September 21, 2016
LPL FINANCIAL LLC
January 27, 2014 - September 21, 2016
LPL FINANCIAL LLC
January 16, 2012 - January 29, 2014
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
COOPER/HAIMS ADVISORS, LLC
CRD#: 124122 / SEC#: 801-61599
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
COOPER/HAIMS ADVISORS, LLC
CRD#: 124122 / SEC#: 801-61599
Contact information
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,501 |
| AUM (Assets Under Management) | $ 939,160,232 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/28/2025 | ||
| 01/29/2024 | ||
| 02/28/2023 |
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.
