Adam Baker, financial advisor Mayfield Heights OH
78 score

Adam Baker

CRD Number: 6133431
Current Firm: Prudential Financial Planning Services

Adam Baker (CRD# 6133431) is an Investment Advisor Representative working at Prudential Financial Planning Services in Mayfield Heights, OH and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Prudential Insurance Company Of America Mayfield Heights, OH Dec 2015 - Current 1
Pruco Securities, LLC Mayfield Heights, OH Nov 2015 - Current 1
Edward Jones St. Louis, MO Nov 2012 - Nov 2015 3
Unemployed Garfield Heights, OH Aug 2012 - Nov 2012 < 1
Alliance Staffing Solutions Independence, OH Aug 2011 - Jul 2012 < 1
Unemployed Garfield Heights, OH Jun 2011 - Aug 2011 < 1
Bank Of America Beachwood, OH Aug 2006 - Jun 2011 4
Unemployed Elyria, OH Feb 2006 - Aug 2006 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2013
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
Get Details on the FINRA Advisor Check site
Contact Info for Adam M. Baker
Phone Number: 800-235-7637
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    4,930
    MILLIONS
  • Total Number of Accounts
    42,153
    ACCOUNTS
  • Average Account Value
    $116,966
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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

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BADGES
78

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