SB
Scott T. Baker
RBC CAPITAL MARKETS
FORT COLLINS, CO
Some features on this profile are disabled
CRD#: 710804
SB
Professional summary
Scott Tilton Baker, CFP®, CIMA® is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Fort Collins, Colorado.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Scott has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 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.
1)High Plains Scuba / 115 West Harvard Fort Collins,CO 80525 / Other/ Sport & Leisure Facilities / Scuba Diving Retail and Training / Swim School / Member of Board of Directors / / Training and Certification of Scuba Diving Instructors / Start Date LLC 3/15/16 /
(2) East Larimer County Water District / Fort Collins United States,Colorado / No/ Current Term Started May 2012 Potable Water Supply and Distribution / No / Elected or appointed position with any government body, including executive, legislative, judicial or quasi-judicial / / Set Policy for the Water District / Start Date 5/1/2000 1200 USD as mandated by Colorado Law
(2)1.NAME: RAGING FLOUNDER, INC.
2.INVESTMENT RELATED: (NO)
3.ADDRESS: 2004 LAKEVIEW DRIVE, FORT COLLINS, CO 80524
4.NATURE: SCUBA DIVING INSTRUCTION
5.YOUR POSITION, PRESIDENT, SOLE STOCK OWNER, SOLE EMPLOYEE
6.START DATE: 1/1/1995
7.NUMBER OF HOURS DEVOTED PER MONTH: >20
8.NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: >2
9.DUTIES: CONTRACT SCUBA DIVING INSTRUCTION TO LOCAL DIVING SCHOOL
1.RED CROSS, CENTENNIAL CHAPTER 120 SATURN DR FORT COLLINS CO. 80525-3924.DISASTER RELIEF, US ARMS SERVICE EMERGENY NOTIFICATION, FIRST AID EDUCATION.PRESIDENT/
FINANCE SUBCOMMITTEE MEMBER.START DATE: 01-JAN-2007.11-20 PER MONTH, 1-10 DURING TRADING HOURS. NOT INVESTMENT RELATED.
(3)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: EAST LARIMER COUNTY WATER DISTRICT
INVESTMENT RELATED: NO
ADDRESS OF BUSINESS:
COLORADO
NATURE OF BUSINESS: OTHER
COMPENSATION FOR ACTIVITY: YES
POSITION, TITLE, ASSOCIATION: DIRECTOR
START DATE OF RELATIONSHIP: 05/01/2000
NUMBER OF HOURS DEVOTED: 6 HOUR(S) MONTHLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 HOUR(S) MONTHLY
DUTIES: ATTEND BOARD MEETING AND SET POLICY FOR WATER DISTRICT./Colorado State University / Fort Collins United States,Colorado coloradostate.edu / No/ Lynn Johnson, Vice President University Operations Date of appointment is ASAP, when I have OK through AOL. I have made the committee aware of my obligation to get this activity pre-approved Investment Commitee to oversee Post Employment Benefits Trust / Yes / 42597 / / Yes / Start Date 8/15/2016/Appointed UBS Financial S. - Wilmington /
(4) Name: East Larimer County Water District
Address: 232 South Link Lane Fort Collins CO 80524
Business Description: Municipal Water District, Colorado Special District
Business is not investment related
Projected Start Date: 05/16/00
Capacity: Board of Directors *, Treasurer, Elected Official (Non-Political Office)
Duties Performed: Board members set policy for the district to include budgeting for operations and capital projects. The district board also collaborates with other area municipalities on various water policy and projects to include storage, treatment and transportation.
Devoted to this OBA per Month: 5
Hours Devoted to this OBA during business hours: 1
(5) Name: High Plains Scuba, Inc
Address: 115 W Harvard St Fort Collins, CO 80525
Business Description: Scuba Diving Retail and Instruction
Business is not investment related
Projected Start Date: 03/01/16
Capacity: Board of Directors *
Duties Performed: Minimal participation, Instructor meetings, director's meetings, but I am not always a participant in either
Devoted to this OBA per Month: Less than 1
Hours Devoted to this OBA during business hours: 0
CRS (Client Relationship Summary) - RIA
Click below to view Scott Tilton Baker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Tilton 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®
Experience
Current
May 11, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 3491 East Harmony Road Suite 210, Fort Collins, CO 80528-9669RIA
BD
CRD#: 31194
FORT COLLINS, CO
Current
May 11, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 3491 East Harmony Road Suite 210, Fort Collins, CO 80528-9669RIA
BD
CRD#: 31194
Fort Collins, CO
Past
September 24, 2014 - May 22, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
FORT COLLINS, CO
Past
September 23, 2014 - May 22, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
FORT COLLINS, CO
Past
July 20, 1998 - September 24, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FORT COLLINS, CO
Past
July 20, 1998 - September 24, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FORT COLLINS, CO
Past
May 11, 1993 - August 11, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 4, 1990 - May 25, 1993
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 1, 1980 - September 4, 1990
BOETTCHER & COMPANY, INC.
BD
CRD#: 101
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Arizona(5/11/2020)
RR
California(5/11/2020)
RR
Colorado(5/11/2020)
IAR
Colorado(5/11/2020)
RR
Delaware(9/28/2020)
RR
Florida(5/11/2020)
RR
Hawaii(6/5/2020)
RR
Idaho(10/30/2024)
RR
Illinois(6/17/2020)
RR
Indiana(8/12/2020)
RR
Kansas(5/11/2020)
RR
Kentucky(8/12/2020)
RR
Maryland(4/15/2024)
RR
Massachusetts(5/11/2020)
RR
Michigan(5/11/2020)
RR
Montana(5/11/2020)
RR
Nebraska(5/11/2020)
RR
New Jersey(6/11/2020)
RR
New York(10/9/2024)
RR
North Carolina(9/5/2025)
RR
Ohio(6/11/2020)
RR
Oregon(5/11/2020)
RR
South Carolina(1/22/2024)
RR
Tennessee(1/13/2021)
RR
Texas(5/11/2020)
IAR
Texas(5/11/2020)
RR
Utah(5/11/2020)
RR
Virginia(5/11/2020)
RR
Washington(5/11/2020)
RR
Wisconsin(5/11/2020)
RR
Wyoming(5/11/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/16/1990
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
