Cory B. Baer

STRAIT & SOUND

Bellevue, WA 98005

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CRD#: 6141366

Professional summary

Cory Brett Baer is a registered financial advisor currently at STRAIT & SOUND located in Bellevue, Washington.

Cory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Cory has worked at 4 firms and has passed the Series 66, 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.

Life & Health Insurance Sales, investment related, start date 03/2013. 3 hours per month. 0 hours during trade hours. Duties include providing life & health insurance products in select cases where it is suitable for a client.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cory Brett Baer'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®

None

Experience

Current

January 15, 2021 - Present

STRAIT & SOUND

Office #1: 11900 Ne 1st Street Suite 300, Bellevue, WA 98005

RIA

CRD#: 309306

Bellevue, WA

Past

January 15, 2019 - January 15, 2021

ALPHA CUBED INVESTMENTS, LLC

RIA

CRD#: 159347

Bellevue, WA

Past

October 24, 2014 - January 18, 2019

MORGAN STANLEY

RIA

CRD#: 149777

BELLEVUE, WA

Past

October 24, 2014 - January 18, 2019

MORGAN STANLEY

CRD#: 149777

BELLEVUE, WA

Past

February 11, 2013 - October 28, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SEATTLE, WA

Past

January 17, 2013 - October 28, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SEATTLE, WA

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".

STRAIT & SOUND

STRAIT & SOUND | STRAIT & SOUND WEALTH MANAGEMENT LLC

CRD#: 309306 / SEC#: 801-118892

RIA

Registered Investment Advisory firm - (6/12/2020 Approved)

California

Registered Investment Advisory firm - (4/28/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(1/28/2021)

IAR

Washington
(1/15/2021)

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

State Security Law Exam

IAR

Series 66

Date: 2/7/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/2013

General Securities Representative Examination

Current Firm

STRAIT & SOUND

STRAIT & SOUND | STRAIT & SOUND WEALTH MANAGEMENT LLC

CRD#: 309306 / SEC#: 801-118892

RIA

Registered Investment Advisory firm - (6/12/2020 Approved)

California

Registered Investment Advisory firm - (4/28/2021 Terminated)

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Contact information

Main Address

San Francisco, CA

Mailing Address

P.o. Box 22391, San Francisco, CA 94122

Phone number

(425) 577-7710

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE DOCUMENT FOR ALL CLIENTS (7/29/2025)

Regulatory assets under management

Total Number of Accounts	658
AUM (Assets Under Management)	$ 303,923,751

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.

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Advisor Monitoring

Firm Stability Insights

Cory B. Baer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cory Brett Baer's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHA CUBED INVESTMENTS, LLC

MORGAN STANLEY

MORGAN STANLEY

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

STRAIT & SOUND

State Registrations and Notice Filings

Exams

Series 66

Date: 2/7/2013

SIE

Date: 10/1/2018

Series 7

Date: 1/16/2013

Current Firm

STRAIT & SOUND

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRAIT & SOUND

TRUST BUT VERIFY

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