Daniel Baker, financial advisor Ontario CA
71 score

Daniel Baker

CRD Number: 5311341
Current Firm: Trinity Capital Management, LLC

Daniel Baker (CRD# 5311341) is an Investment Advisor Representative working at Trinity Capital Management, LLC in Ontario, CA and has over 8 years of experience in the finance industry. Daniel Baker has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Trinity Capital Management, LLC Ontario, CA Sep 2013 - Current 3
Trinity Financial Partners, Inc. Ontario, CA Feb 2007 - Sep 2013 6
Financial Network Investment Corporation Ontario, CA Aug 2008 - Oct 2012 4
Pension Planners Securities, Inc. Ontario, CA Jan 2008 - Aug 2008 < 1
Nfp Securities Inc. Ontario, CA Sep 2007 - Nov 2007 < 1
California State Polytechnic University, Pomona Pomona, CA Jul 2004 - Feb 2007 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 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:
  • Employer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Daniel R. Baker
Phone Number: 805-963-0500
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    196
    MILLIONS
  • Total Number of Accounts
    601
    ACCOUNTS
  • Average Account Value
    $326,064
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
Types of Clients
Registered States

CA, CO, ID, LA, TX, WA

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BADGES
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