KB
Kirk J. Baser
CETERA INVESTMENT ADVISERS LLC
Altoona, PA 16601
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CRD#: 6260137
KB
Professional summary
Kirk James Baser is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Altoona, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Altoona, Pennsylvania.
Kirk is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Kirk has worked at 6 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.
(1) PLATINUM WEALTH STRATEGIES LLC; SAME AS BRANCH ADDRESS, ALTOONA PA; START DATE 10/01/2012; FINANCIAL ADVISOR; ADVISE AND ASSIST CLIENTS IN THEIR FINANCIAL GOALS; 5 HOURS SPENT ON ACTIVITY PER MONTH; 0 DURING TRADING HOURS. (2) DEADSOLID GOLF MARKETING.317 E PLEASANT VALLEY BLVD,ALTOONA PA 16602.OWNER. RETURN SALES CALLS AFTER 4PM. DELEGATE RESPONSIBILITY, ORDER MATERIALS, 0 HOURS SPENT DURING TRADING HOURS,10 HOURS SPENT AT OTHER BUSINESS DURING NON-TRADING HOURS. (3) NAME OF OTHER BUSINESS: KBD INVESTMENTS; INVESTMENT RELATED: NO; ADDRESS: 210 BRISTOL LANE HOLLIDAYSBURG, PA 16648 ; NATURE OF BUSINESS: ENTITY FOR TAX PURPOSES; START DATE: 06/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ENTITY USED FOR TAX PURPOSES;
CRS (Client Relationship Summary) - RIA
Click below to view Kirk James Baser's 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®
NoneExperience
Current
October 9, 2015 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1425 11th Ave Lower Level, Altoona, PA 16601RIA
CRD#: 105644
Altoona, PA
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1425 11th Ave Lower Level, Altoona, PA 16601BD
CRD#: 13572
Altoona, PA
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 6, 2016 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
Altoona, PA
Past
September 1, 2015 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
ALTOONA, PA
Past
July 16, 2014 - December 23, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
ALTOONA, PA
Past
December 23, 2013 - September 29, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ALTOONA, PA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(1/4/2021)
RR
Maryland(9/20/2019)
IAR
Pennsylvania(10/9/2015)
RR
Pennsylvania(9/20/2019)
RR
South Carolina(9/20/2019)
IAR
South Carolina(12/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
