NB
Nicholas J. Baker
CETERA INVESTMENT ADVISERS LLC
HOUSTON, TX 77027
Some features on this profile are disabled
CRD#: 6495142
NB
Professional summary
Nicholas Joseph Baker is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA WEALTH SERVICES, LLC located in Houston, Texas.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Nicholas has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
ARDENT SOLUTIONS POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 03/01/2018 ADDRESS: , Sugarland TX , United States DESCRIPTION: Agent/Broker HARRIS COUNTY MUNICIPAL UTILITY DISTRICT POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2018 ADDRESS: , Houston TX , United States DESCRIPTION: Advisory Board HOUSTON A&M CLUB POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 03/01/2016 ADDRESS: , Houston TX , United States DESCRIPTION: Advisory Board IMG FINANCIAL GROUP POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2018 ADDRESS: , Houston TX , United States DESCRIPTION: Agent/Broker IMG MEDICAL GROUP POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2018 ADDRESS: , Houston TX , United States DESCRIPTION: Agent/Broker RICHMOND LANDING FAMILY DENTISTRY POSITION: Brand Ambassador NATURE: Brand Ambassador INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2021 ADDRESS: 941 E Hwy 90 Alt, Richmond TX 77406, United States DESCRIPTION: A Brand Ambassador TOTAL NUTRITION POSITION: Brand Ambassador NATURE: Nutrition/Sports Supplement Company INVESTMENT RELATED: No NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 0 START DATE: 05/31/2022 ADDRESS: 3901 Richmond Ave, Houston TX 77027, United States DESCRIPTION: Brand Ambassador for Total Nutrition. A brand ambassador incorporates a companies products into their lifestyle, and promotes these products simply by using them in their every day life.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Joseph Baker'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4550 Post Oak Pl Ste 125, Houston, TX 77027RIA
CRD#: 105644
HOUSTON, TX
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4550 Post Oak Place Suite 125, Houston, TX 77027BD
CRD#: 13572
Houston, TX
Past
September 7, 2016 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
HOUSTON, TX
Past
April 29, 2016 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
HOUSTON, TX
Past
July 8, 2015 - February 12, 2016
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
HOUSTON, TX
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
California(4/4/2024)
RR
Colorado(11/5/2025)
RR
Louisiana(9/8/2025)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
West Virginia(9/9/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
