Caleb A. Baker
Professional summary
Caleb Alan Baker is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Bryan, Texas and NYLIFE SECURITIES LLC located in Bryan, Texas.
Caleb is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Caleb has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Caleb Alan Baker's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2023 - Present
EAGLE STRATEGIES LLC
Office #1: 3833 S Texas Avenue Suite 108, Bryan, TX 77802October 24, 2022 - Present
NYLIFE SECURITIES LLC
Office #1: 3833 South Texas Avenue Suite 108, Bryan, TX 77802Office #2: 6200 Bridgepoint Parkway Suite 300, Austin, TX 78730Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/24/2024)
(1/27/2023)
(9/12/2023)
Exams
Series 7TO
Date: 10/24/2022
General Securities Representative ExaminationFINRA
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
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