James Carl Baird
Professional Summary
James Carl Baird, who also goes by James C Baird, Usajames Carl Baird, is a registered financial advisor currently at COMPASS ION ADVISORS, LLC located in Naples, Florida and KEEL POINT CAPITAL, LLC located in Conshohocken, Pennsylvania. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. James has worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, SIE,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James C Baird, Usajames Carl Baird
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
48 years in the financial services industry
Current & Past Employments
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Current Firm
COMPASS ION ADVISORS, LLC
Contact Information
Main Address
300 Conshohocken State Road Suite 230, Conshohocken, PA 19428Phone Number
(610) 228-2200# of Employees
24SEC notice filing (22 States and Territories)
Registered to provide investment advisory services in 22 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,745AUM (Assets Under Management)
$1,586,830,325Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/17/2026 | Cover Page | Report |
| 10/07/2024 | Cover Page | Report |
| 04/17/2024 | Cover Page | Report |
| 12/22/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
COMPASS ION ADVISORS, LLC
State Registrations and Notice Filings
(1/4/2023)
(1/12/2023)
(1/4/2023)
(1/4/2023)
(11/22/2013)
(1/12/2023)
(11/20/2020)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Feb 1985SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Carl Baird's CRS (Customer Relationship Summary).
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