Brian C. Baker

VESTOR CAPITAL

Chicago, IL 60606-3840

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CRD#: 6205809

Professional summary

Brian C. Baker JR., CFP® is a registered financial advisor currently at VESTOR CAPITAL, LLC located in Chicago, Illinois.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Brian has worked at 2 firms and has passed the Series 66, Series 7TO, 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.

1) BUSINESS: KMP Managers LLC INVESTMENT-RELATED: Yes ADDRESS: Chicago, IL NATURE OF BUSINESS: Real Estate Investment POSITION: Managing Member START DATE: 2019 HOURS DEVOTED: 3/month DURING TRADING HOURS: NONE 2) BUSINESS: Northbay Medicus LLC INVESTMENT-RELATED: Yes ADDRESS: Chicago, IL NATURE OF BUSINESS: Real Estate Investment POSITION: Managing Member START DATE: 2019 HOURS DEVOTED: 3/month DURING TRADING HOURS: NONE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian C. Baker JR.'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

Experience

Current

February 10, 2022 - Present

VESTOR CAPITAL, LLC

Office #1: 10 S. Riverside Plaza Suite 1400, Chicago, IL 60606-3840

RIA

CRD#: 165855

Chicago, IL

Past

April 23, 2015 - December 31, 2021

VESTOR CAPITAL, LLC

RIA

CRD#: 165855

CHICAGO, IL

Past

July 23, 2013 - May 29, 2020

VESTOR CAPITAL SECURITIES, LLC

CRD#: 15809

LAKE FOREST, IL

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".

VESTOR CAPITAL, LLC

CRD#: 165855 / SEC#: 801-77335

RIA

Registered Investment Advisory firm - (10/1/2012 Approved)

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

Illinois
(2/10/2022)

IAR

Texas
(8/21/2024)

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: 8/29/2013

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/22/2013

General Securities Representative Examination

Current Firm

VESTOR CAPITAL, LLC

CRD#: 165855 / SEC#: 801-77335

RIA

Registered Investment Advisory firm - (10/1/2012 Approved)

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Contact information

Main Address

10 S. Riverside Plaza Suite 1400, Chicago, IL 60606-3840

Mailing Address

Phone number

(312) 641-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VESTOR CAPITAL ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,472
AUM (Assets Under Management)	$ 2,081,002,554

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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Brian C. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian C. Baker JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

VESTOR CAPITAL, LLC

VESTOR CAPITAL SECURITIES, LLC

Primary Firm SEC Registration

VESTOR CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/29/2013

Series 7TO

Date: 12/22/2022

SIE

Date: 10/1/2018

Series 7

Date: 7/22/2013

Current Firm

VESTOR CAPITAL, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VESTOR CAPITAL, LLC

TRUST BUT VERIFY

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