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Dustin Lee Baker

Dustin L. Baker

SAGE, RUTTY & CO.
ROCHESTER, NY 14623
Some features on this profile are disabled
CRD#: 5976892
Dustin Lee Baker
Dustin Lee BakerSAGE, RUTTY & CO.

Professional summary

Dustin Lee Baker, CFP®, who also goes by Dustin L Baker, Dustin Lee Baker, is a registered financial advisor currently at SAGE, RUTTY & CO., INC. located in Rochester, New York.

Dustin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Dustin has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

Always Fiduciary

Aliases

Dustin L Baker | Dustin Lee Baker

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dustin Lee 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®
CFP®

Certified Financial Planner

Start date: 2016

Experience

Current

July 15, 2026 - Present

SAGE, RUTTY & CO., INC.

Office #1: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #2: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #3: 100 Corporate Woods Suite 300, Rochester, NY 14623
RIA
BD
CRD#: 3254
ROCHESTER, NY
Past

July 25, 2022 - November 30, 2022

COOPER/HAIMS ADVISORS, LLC

RIA
CRD#: 124122
VICTOR, NY
Past

July 11, 2017 - July 1, 2022

ESL INVESTMENT SERVICES, LLC

BD
CRD#: 139176
VICTOR, NY
Past

July 7, 2017 - July 29, 2022

LPL FINANCIAL LLC

RIA
CRD#: 6413
VICTOR, NY
Past

July 7, 2017 - July 29, 2022

LPL FINANCIAL LLC

BD
CRD#: 6413
VICTOR, NY
Past

January 5, 2017 - July 5, 2017

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
PITTSFORD, NY
Past

December 20, 2016 - July 5, 2017

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
PITTSFORD, NY
Past

September 21, 2016 - December 19, 2016

KEY INVESTMENT SERVICES LLC

RIA
CRD#: 136300
ROCHESTER, NY
Past

September 21, 2016 - December 19, 2016

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
ROCHESTER, NY
Past

April 24, 2015 - September 21, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
ALBION, NY
Past

January 27, 2014 - September 21, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
ALBION, NY
Past

January 16, 2012 - January 29, 2014

NYLIFE SECURITIES LLC

BD
CRD#: 5167
FAIRPORT, NY

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".
SAGE, RUTTY & CO., INC.
SAGE, RUTTY & CO., INC.
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.

CRD#: 3254 / SEC#: 801-35917, 8-533

RIA
Registered Investment Advisory firm - SEC (1/26/1990 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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
Florida
(7/15/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/16/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/4/2012
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 7
Date: 3/24/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/14/2012
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SAGE, RUTTY & CO., INC.
SAGE, RUTTY & CO., INC.
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.

CRD#: 3254 / SEC#: 801-35917, 8-533

RIA
Registered Investment Advisory firm - SEC (1/26/1990 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
100 Corporate Woods Suite 300, Rochester, NY 14623
Mailing Address
100 Corporate Woods Suite 300, Rochester, NY 14623
Phone number
(585) 232-3760
Established
New York since 02/11/1937
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
39

SEC notice filing (11 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 08062025 (8/11/2025)

Direct owners and executive officers

NamePositionCRD#
HOLLY, AUDREY WELLERSHAREHOLDER
HOLLY, WAYNE FOSTEREXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTOR1019229
NUGENT, KIM LISBETHSENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER4759283
PARKER, DOUGLAS EVANS IIIDIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENT1772713
HOLLY, TREVOR WILLIAMPRESIDENT, CEO, SHAREHOLDER6215542
BURKE, JAMES PAULSECRETARY, VICE PRESIDENT, SHAREHOLDER2226672
CONWAY, CHELSEA LEIGHDIRECTOR7976777
DENNIS, CORINNE MARIECHIEF COMPLIANCE OFFICER6454049
EHRLICH, CURT ALLENSENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER4659166
FALVEY, ROBERT JOHNSHAREHOLDER (10/1996)1926374
FROOD, LAURA SUZANNEFINANCIAL ADVISOR, SHAREHOLDER4211953
FROOD, NEIL STEWART IIIFINANCIAL ADVISOR, DIRECTOR4483525
HOLLY, CHRISTOPHER ROBERTSHAREHOLDER7993869
HOLLY, CONNOR BFINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENT5887021
HOLLY, JARED FOSTERSHAREHOLDER7648569
HOLLY, JESSICA LAURENSHAREHOLDER7656552
HOLLY, SEAN TYLERSHAREHOLDER7656542
HOLLY, SHANE ALEXANDERSHAREHOLDER7656553
LACEY, MATTHEW JAMESCONTROLLER,TREASURER, FINOP, SHAREHOLDER5299622
LOHWATER, ROBERT LAWRENCECORPORATE OFFICER1232267
RALPH JOSEPH DANDREADIRECTOR
WEHNER, SANDRA JEANSHAREHOLDER1472675

Regulatory assets under management

Total Number of Accounts7,702
AUM (Assets Under Management)$ 3,018,502,621

Disclosures

Regulatory Event6
Arbitration1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/05/2025
Cover Page
Report
01/27/2025
Cover Page
Report
01/02/2024
Cover Page
Report

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.

Company Information

SAGE, RUTTY & CO., INC.

SAGE, RUTTY & CO., INC.

CRD#: 3254Rochester, NY 14623

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