David L. Baker
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.
David Louis Baker JR, who also goes by Dave Baker Jr, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1976. David had worked at 9 firms and has passed the Series 65, Series 63, SIE, PC, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2015 - December 8, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 12, 2009 - August 17, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 12, 2009 - December 8, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 29, 2004 - November 18, 2009
WOODBURY FINANCIAL SERVICES, INC.
March 19, 2004 - November 18, 2009
WOODBURY FINANCIAL SERVICES, INC.
February 12, 2002 - March 31, 2004
1717 CAPITAL MANAGEMENT COMPANY
November 1, 2001 - March 31, 2004
1717 CAPITAL MANAGEMENT COMPANY
July 14, 1999 - November 13, 2001
IDS LIFE INSURANCE COMPANY
July 14, 1999 - November 13, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
January 28, 1995 - July 26, 1999
UBS FINANCIAL SERVICES INC.
July 27, 1981 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
March 2, 1976 - October 28, 1983
FAHNESTOCK INTERNATIONAL INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 8
Date: 1/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
