Matthew N. Baker

M1 FINANCE

Chicago, IL

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CRD#: 7009910

Professional summary

Matthew Nicklaus Baker is a registered financial advisor currently at M1 FINANCE located in Chicago, Illinois and M1 FINANCE LLC located in Chicago, Illinois.

Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Matthew has worked at 2 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Nicklaus Baker'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®

None

Experience

Current

June 2, 2024 - Present

M1 FINANCE

RIA

CRD#: 249787

Chicago, IL

Current

October 17, 2018 - Present

M1 FINANCE LLC

Office #1: 200 N Lasalle Street, Suite 810, Chicago, IL 60601

CRD#: 281242

CHICAGO, IL

Past

March 18, 2021 - December 31, 2023

M1 FINANCE

RIA

CRD#: 249787

Brooklyn, NY

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".

M1 FINANCE

FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC

CRD#: 249787 / SEC#: 801-106511

RIA

Registered Investment Advisory firm - (8/11/2015 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.

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

Illinois
(4/27/2019)

IAR

Illinois
(6/2/2024)

New York
(5/31/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/27/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

M1 FINANCE

FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC

CRD#: 249787 / SEC#: 801-106511

RIA

Registered Investment Advisory firm - (8/11/2015 Approved)

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Contact information

Main Address

200 North Lasalle Street Suite 810, Chicago, IL 60601

Mailing Address

Phone number

(312) 600-2883

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

M1 ADVISORY SERVICES (3/11/2025)

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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Matthew N. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Nicklaus Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

M1 FINANCE

M1 FINANCE LLC

M1 FINANCE

Primary Firm SEC Registration

M1 FINANCE

State Registrations and Notice Filings

Exams

Series 66

Date: 4/27/2019

SIE

Date: 10/18/2018

Series 7

Date: 10/17/2018

FINRA

Current Firm

M1 FINANCE

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

M1 FINANCE

TRUST BUT VERIFY

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