James C. Baer
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.
James Charles Baer was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 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, 2018 - October 5, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 14, 2017 - April 10, 2019
JACKSON ROSKELLEY WEALTH ADVISORS, INC.
November 7, 2016 - October 5, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 24, 2009 - November 7, 2016
INVESTACORP ADVISORY SERVICES INC
November 25, 1985 - November 7, 2016
INVESTACORP, INC.
March 1, 1985 - November 23, 1985
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 2, 1983 - March 15, 1985
FSC SECURITIES CORPORATION
May 11, 1983 - November 19, 1983
FIRST LINCOLN INVESTMENTS, INC.
July 31, 1980 - July 29, 1983
FSC SECURITIES CORPORATION
November 17, 1976 - January 10, 1981
PW SECURITIES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 1
Date: 11/13/1976
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
