Joshua M. Baker

WYNN CAPITAL

Augusta, GA 30901

Some features on this profile are disabled

CRD#: 7661166

Professional summary

Joshua Mansfield Baker is a registered financial advisor currently at WYNN CAPITAL located in Augusta, Georgia.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Joshua has worked at 1 firm and has passed the Series 65 exam.

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 Joshua Mansfield 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

November 28, 2022 - Present

WYNN CAPITAL

Office #1: 965 Broad Street, Augusta, GA 30901

RIA

CRD#: 281291

Augusta, GA

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".

WYNN CAPITAL

WYNN CAPITAL | WYNN CAPITAL LLC

CRD#: 281291 / SEC#: 801-124996

RIA

Registered Investment Advisory firm - (5/12/2022 Approved)

Georgia

Registered Investment Advisory firm - (5/24/2022 Terminated)

Mississippi

Registered Investment Advisory firm - (5/18/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (5/18/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/18/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Georgia
(11/28/2022)

IAR

Texas
(12/12/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/27/2022

Uniform Investment Adviser Law Examination

Current Firm

WYNN CAPITAL

WYNN CAPITAL | WYNN CAPITAL LLC

CRD#: 281291 / SEC#: 801-124996

RIA

Registered Investment Advisory firm - (5/12/2022 Approved)

Georgia

Registered Investment Advisory firm - (5/24/2022 Terminated)

Mississippi

Registered Investment Advisory firm - (5/18/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (5/18/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/18/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

965 Broad Street, Augusta, GA 30901

Mailing Address

Phone number

(706) 869-3451

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A & 2B SEC (3/12/2025)

Regulatory assets under management

Total Number of Accounts	782
AUM (Assets Under Management)	$ 250,959,217

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.

Similar Advisors

David Loughlin

CITIZENS SECURITIES, INC.

IAR

WARWICK, RI

Jamie Powell

CAPITAL ADVISORY SERVICES, LLC

IAR

West Chester, OH

Alexander Paslay

KESTRA ADVISORY SERVICES, LLC

IAR

Woodstock, GA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joshua M. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Mansfield Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

WYNN CAPITAL

Primary Firm SEC Registration

WYNN CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/2022

Current Firm

WYNN CAPITAL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WYNN CAPITAL

TRUST BUT VERIFY

Similar Advisors