James G Baker Iv
Professional Summary
James G Baker IV, who also goes by James Golladay Baker IV, is a registered financial advisor currently at TRANQUILITY PARTNERS, LLC located in Brentwood, Tennessee. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. James has worked at 2 firms and has passed the Series 65, SIE, Series 79 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Golladay Baker Iv
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
TRUIST ADVISORY SERVICES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
TRUIST ADVISORY SERVICES, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
TRUIST ADVISORY SERVICES, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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.
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
TRUIST ADVISORY SERVICES, INC.
Years of Experience
9 years in the financial services industry
Current & Past Employments
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
TRUIST ADVISORY SERVICES, INC.
Current Firm
TRANQUILITY PARTNERS, LLC
Contact Information
Main Address
5214 Maryland Way Suite 405, Brentwood, TN 37027Phone Number
(615) 432-5370# of Employees
7SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
958AUM (Assets Under Management)
$960,046,500Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
TRUIST ADVISORY SERVICES, INC.
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.
The advisor shows no other business activity.
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
TRUIST ADVISORY SERVICES, INC.
Primary Firm SEC Registration
TRANQUILITY PARTNERS, LLC
State Registrations and Notice Filings
(4/5/2022)
(4/6/2022)
(4/5/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Nov 2017About the Series 79 examSimilar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
TRUIST ADVISORY SERVICES, INC.
CRS (Client Relationship Summary) - RIA
Click below to view James G Baker IV's CRS (Customer Relationship Summary).
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
TRUIST ADVISORY SERVICES, INC.
