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JB

John Walter Baer

CRD# 9940·Registered 1971 - 2005
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Walter Baer, who also goes by Jack Baer, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1971 - 2005. John had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 00 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jack Baer

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

55 years in the financial services industry

Current & Past Employments

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC·CRD# 104790
RIA
Los Altos, CA
July 8, 1997 - February 17, 2005
AMERICAN INVESTORS COMPANY·CRD# 38
BD
Pleasanton, CA
February 14, 1996 - July 22, 2025
ASSOCIATED SECURITIES CORP.·CRD# 12969
BD
Boston, MA
May 3, 1984 - February 17, 2005
AMERICAN INVESTORS COMPANY·CRD# 38
BD
February 6, 1975 - May 18, 1984
SPECTRUM FINANCIAL GROUP, INC.·CRD# 948
BD
June 8, 1973 - June 17, 1973
EQUITEC SECURITIES CO·CRD# 1000009
BD
May 15, 1973 - February 27, 1975
EQUITEC SECURITIES CO·CRD# 1000005
BD
April 4, 1972 - June 8, 1973
NDF SECURITIES CORPORATION·CRD# 5696
BD
August 16, 1971 - May 17, 1972
GREEN HILL FINANCIAL SERVICE CORPORATION·CRD# 4882
BD
March 22, 1971 - September 13, 1971
FALCON FINANCIAL SERVICES, INC.·CRD# 6123
BD
January 20, 1971 - June 17, 1971

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1984About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Jan 2023About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 1 — Registered Representative Examination

Passed Jan 1971

Series 24 — General Securities Principal Examination

Passed Jan 2023About the Series 24 exam

Series 00 — General Securities Principal Examination

Passed Jul 1973

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CRS (Client Relationship Summary)

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

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