William Baker, financial advisor Brentwood TN
71 score

William Baker

CRD Number: 5469378
Current Firm: Wells Fargo Advisors, LLC

William Baker (CRD# 5469378) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Brentwood, TN and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors, LLC Brentwood, TN Nov 2015 - Current 1
Indoor Signs LLC Bloomington, IN Jan 2002 - Current 14
Merrill Lynch, Pierce, Fenner & Smith Incorporated Nashville, TN Jan 2008 - Nov 2015 7
Self Employed Nashville, TN Jan 2005 - Jan 2008 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jun 2008
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for William A. Baker
Phone Number: 314-875-3000
Registered State(s):
  • TN
  • TX
By the Numbers
  • Total Assets Under Management
    372,113
    MILLIONS
  • Total Number of Accounts
    1,339,368
    ACCOUNTS
  • Average Account Value
    $277,827
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
71

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