Nicole T. 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.
Nicole Tucker Baker, who also goes by Nicole Suzanne Tucker, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2013. Nicole had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2021 - December 31, 2022
GRADIENT ADVISORS, LLC
October 25, 2019 - December 31, 2019
AVANTAX ADVISORY SERVICES
October 25, 2019 - December 31, 2019
AVANTAX INVESTMENT SERVICES, INC.
August 8, 2013 - October 25, 2019
1ST GLOBAL ADVISORS INC
June 28, 2013 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
Primary Firm SEC Registration
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
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
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,222 |
| AUM (Assets Under Management) | $ 218,611,410 |
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.
