James Baker, financial advisor Casper WY
93 score

James Baker

CRD Number: 5344051
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

James Baker (CRD# 5344051) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Casper, WY and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America,na Denver, CO Nov 2010 - Current 6
Merrill Lynch, Pierce, Fenner & Smith Incorporated Denver, CO Oct 2010 - Current 6
Morgan Stanley Smith Barney Denver, CO Jun 2009 - Oct 2010 1
Morganstanley & Company, Incorporated Denver, CO Apr 2007 - Jun 2009 2
Morganstanley Dw Inc. Baltimore, MD Jan 2006 - Apr 2007 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2007
Contact Info for James Baker
Phone Number: 800-637-7455
Registered State(s):
  • CO
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
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 pooled investment vehicles (other than investment companies)
  • 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, 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, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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