Bob J. Baker

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CRD#: 807040

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Bob James Baker was a registered financial professional .

Bob is a previously registered financial professional and started their career in finance in 1983. Bob had worked at 4 firms and has passed the Series 65, Series 63, Series 6, Series 22 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 2, 2008 - November 6, 2014

TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.

RIA

CRD#: 146778

COSTA MESA, CA

Past

May 15, 2001 - September 16, 2002

FREEDOM FINANCIAL, INC.

CRD#: 45850

OMAHA, NE

Past

February 3, 1993 - December 15, 1995

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

June 10, 1983 - December 4, 1996

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, 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".

TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.

ASSET STRATEGIES, LLC | TEAMS, INC. | TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC. | PAN GLOBAL ADVISERS

CRD#: 146778 / SEC#: 801-110232

RIA

Registered Investment Advisory firm - (3/24/2017 Approved)

California

Registered Investment Advisory firm - (4/29/2017 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/24/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/14/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/7/2001

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 7/11/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 1

Date: 4/12/1975

Registered Representative Examination

Current Firm

TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.

ASSET STRATEGIES, LLC | TEAMS, INC. | TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC. | PAN GLOBAL ADVISERS

CRD#: 146778 / SEC#: 801-110232

RIA

Registered Investment Advisory firm - (3/24/2017 Approved)

California

Registered Investment Advisory firm - (4/29/2017 Terminated)

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Contact information

Main Address

650 Town Center Drive Suite 890, Costa Mesa, CA 92626

Mailing Address

Phone number

(949) 878-9400

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

TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC. AMENDED FORM ADV, PART 2A. (3/31/2025)

Regulatory assets under management

Total Number of Accounts	223
AUM (Assets Under Management)	$ 114,522,333

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
02/28/2024	Cover Page	Report

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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Firm Stability Insights

Bob J. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FREEDOM FINANCIAL, INC.

JOHN HANCOCK DISTRIBUTORS LLC

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/2008

Series 63

Date: 5/14/2001

Series 6

Date: 5/7/2001

Series 22

Date: 7/11/1983

Series 1

Date: 4/12/1975

Current Firm

TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.

TRUST BUT VERIFY

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