Alex Baker
Professional Summary
Alex Baker, who also goes by Alex James Baker, is a registered financial advisor currently at SOFI WEALTH LLC located in Cottonwood Heights, Utah and SOFI SECURITIES LLC located in Cottonwood Heights, Utah. Alex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Alex has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alex James Baker
Similar Advisors
NET WORTH ADVISORY GROUP, LLC
EAGLE STRATEGIES LLC
SIMPLE FINANCIAL, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
NET WORTH ADVISORY GROUP, LLC
EAGLE STRATEGIES LLC
SIMPLE FINANCIAL, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
NET WORTH ADVISORY GROUP, LLC
EAGLE STRATEGIES LLC
SIMPLE FINANCIAL, LLC
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
NET WORTH ADVISORY GROUP, LLC
EAGLE STRATEGIES LLC
SIMPLE FINANCIAL, LLC
Years of Experience
7 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
NET WORTH ADVISORY GROUP, LLC
EAGLE STRATEGIES LLC
SIMPLE FINANCIAL, LLC
Current Firm
SOFI ADVISORS LLC | SOFI WEALTH LLC
Contact Information
Main Address
234 1st Street, San Francisco, CA 94105Phone Number
(855) 525-7634# of Employees
114SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
290,887AUM (Assets Under Management)
$2,047,338,985Similar Advisors
NET WORTH ADVISORY GROUP, LLC
EAGLE STRATEGIES LLC
SIMPLE FINANCIAL, LLC
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.
Similar Advisors
NET WORTH ADVISORY GROUP, LLC
EAGLE STRATEGIES LLC
SIMPLE FINANCIAL, LLC
Primary Firm SEC Registration
SOFI ADVISORS LLC | SOFI WEALTH LLC
State Registrations and Notice Filings
(2/27/2025)
(3/3/2025)
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 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2022About the Series 9 examSRO Registrations
Similar Advisors
NET WORTH ADVISORY GROUP, LLC
EAGLE STRATEGIES LLC
SIMPLE FINANCIAL, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Alex Baker's CRS (Customer Relationship Summary).
Similar Advisors
NET WORTH ADVISORY GROUP, LLC
EAGLE STRATEGIES LLC
SIMPLE FINANCIAL, LLC