Timothy Baker, financial advisor Sebring FL
88 score

Timothy Baker

CRD Number: 2980214
Current Firm: Axa Advisors, LLC
Compensation Model: Both

Timothy F. Baker is an Investment Advisor Representative working at Axa Advisors, LLC in Sebring, FL and has over 19 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Axa Advisors, LLC New York, NY Sep 1999 - Current 17
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1997
S6 Investment Company and Variable Contracts Products Representative Examination (IR) Nov 1997
S65 NASAA Investment Advisors Law Examination Jul 1999
S7 General Securities Representative Examination (GS) Sep 1999
S24 General Securities Principal Examination (GP) Apr 2002
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Timothy F. Baker
Phone Number: 863-385-5100
Firm Website: http://axa.us.com
Registered State(s):
  • DC
  • VA
  • FL
  • GA
  • NC
  • KY
  • PA
  • OH
By the Numbers
  • Total Assets Under Management
    9,867
    MILLIONS
  • Total Number of Accounts
    40,093
    ACCOUNTS
  • Average Account Value
    $246,096
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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

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
88
Verified Page
Data verified by both the advisor and the public regulatory data.

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