Richard Edward Baker
Professional Summary
Richard Edward Baker is a registered financial advisor currently at ALPS ADVISORS, INC. located in Denver, Colorado and ALPS DISTRIBUTORS, INC. located in Denver, Colorado. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Richard has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
12 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ALPS ADVISERS, INC. | ALPS ADVISORS, INC.
Contact Information
Main Address
1290 Broadway, Suite 1000, Denver, CO 80203Mailing Address
Po Box 328, Denver, CO 80201-0328Phone Number
(303) 623-2577# of Employees
73SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
22AUM (Assets Under Management)
$38,832,034,748Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ALPS ADVISERS, INC. | ALPS ADVISORS, INC.
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2014About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Edward Baker's CRS (Customer Relationship Summary).
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