James C. Baird

COMPASS ION ADVISORS

NAPLES, FL

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CRD#: 847959

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, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James C Baird | Usajames Carl Baird

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.

(1.) NAME OF OBA: NEW LIFE PRESBYTERIAN CHURCH--DRESHER ADDRESS OF OBA: DRESHER, PA 19025 NATURE: BUYING SHORT-TERM TREASURY BILLS & NOTES (UNDER 1 YEAR) FOR THE CHURCH'S EXCESS CASH. NO COMMISSIONS OR SALES CHARGES BEING ASSESSED. INVESTMENT RELATED: YES TITLE OR RELATIONSHIP WITH OBA: ELDER & TRUSTEE DUTIES: LADDERING TRANCHES OF T-BILLS & T-NOTES FOR CHURCH'S EXCESS CASH. REINVESTING PROCEEDS WHEN THEY MATURE IF APPROPRIATE START DATE: 07/28/2022 APPROX. NUMBER OF HOURS/MONTH: 0.5 APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0.5

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Carl Baird'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 22, 2013 - Present

COMPASS ION ADVISORS, LLC

RIA

CRD#: 166418

NAPLES, FL

Current

January 4, 2023 - Present

KEEL POINT CAPITAL, LLC

Office #1: 300 Conshohocken State Road #230, Conshohocken, PA 19428

CRD#: 6769

Conshohocken, PA

Past

January 7, 2009 - December 5, 2009

EGE ADVISORS, LTD.

RIA

CRD#: 113625

KING OF PRUSSIA, PA

Past

December 2, 2008 - January 27, 2014

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

RIA

CRD#: 119890

ROCKAWAY, NJ

Past

December 2, 2008 - January 12, 2023

APW CAPITAL, INC.

CRD#: 43814

WEST CONSHOHOCKEN, PA

Past

September 7, 2001 - December 31, 2008

EGE ADVISORS, LTD.

RIA

CRD#: 113625

KING OF PRUSSIA, PA

Past

July 13, 2001 - December 31, 2008

EMERGING GROWTH EQUITIES, LTD.

CRD#: 47040

KING OF PRUSSIA, PA

Past

March 18, 1994 - July 24, 2001

INVESTEC INC.

CRD#: 18553

NEW YORK, NY

Past

May 26, 1989 - April 8, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 6, 1983 - June 8, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

August 7, 1980 - May 19, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

January 27, 1978 - November 26, 1978

SALOMON BROTHERS INC.

CRD#: 740

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".

COMPASS ION ADVISORS, LLC

CRD#: 166418 / SEC#: 801-78503

RIA

Registered Investment Advisory firm - (8/30/2013 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(1/4/2023)

Connecticut
(1/12/2023)

Florida
(1/4/2023)

IAR

Florida
(11/18/2024)

New Jersey
(1/4/2023)

IAR

Pennsylvania
(11/22/2013)

Pennsylvania
(1/12/2023)

IAR

Texas
(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

State Security Law Exam

IAR

Series 65

Date: 3/28/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/19/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/8/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/21/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 2/25/1985

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

COMPASS ION ADVISORS, LLC

CRD#: 166418 / SEC#: 801-78503

RIA

Registered Investment Advisory firm - (8/30/2013 Approved)

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Contact information

Main Address

300 Conshohocken State Road Suite 230, Conshohocken, PA 19428

Mailing Address

Phone number

(610) 228-2200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

07 31 2025 CIA FORM ADV PART 2A FINAL (7/31/2025)

Regulatory assets under management

Total Number of Accounts	3,547
AUM (Assets Under Management)	$ 1,328,104,988

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/07/2024	Cover Page	Report
04/17/2024	Cover Page	Report
12/22/2023	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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

James C. Baird

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Carl Baird's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEEL POINT CAPITAL, LLC

EGE ADVISORS, LTD.

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

APW CAPITAL, INC.

EGE ADVISORS, LTD.

EMERGING GROWTH EQUITIES, LTD.

INVESTEC INC.

PRUDENTIAL EQUITY GROUP, LLC

DREXEL BURNHAM LAMBERT INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SALOMON BROTHERS INC.

Primary Firm SEC Registration

COMPASS ION ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/28/2007

Series 63

Date: 10/19/1982

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 11/8/1985

Series 7

Date: 1/21/1978

Series 8

Date: 2/25/1985

FINRA

Current Firm

COMPASS ION ADVISORS, LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

COMPASS ION ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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