Stephen Matthew Baker

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-07-02
CO	RA	APPROVED	2001-02-09

TX RA
APPROVED_RES

Since 2009-07-02
CO RA
APPROVED

Since 2001-02-09

Branch Locations

Denver, CO • United States

8181 E Tufts Ave Ste 520, Denver, CO 80237-2580 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Denver	CO	09/2005	03/2020
Ameriprise Financial Service, Llc	Denver	CO	12/2000	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Denver, CO
12/2000 → Present

Ameriprise Financial Service, Llc

Denver, CO

Other Businesses

Business Ownership; Varuna Group LLC; manage financial planning practice staff payroll and expenses.; Manage my financial planning practice (i.e., pay staff and expenses); 8181 E. Tufts Ave Ste 520 , , Denver, CO, 80237; Not Investment-Related; 11/12/2012; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Certainty of the uncertainty, LLC; Contractor of Legal Entity; Manage advisory business; 8181 E. Tufts Ave, 520, denver, CO, 80237; Investment-Related; 01/21/2026; 60 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-01-26

S66 Uniform Combined State Law Examination

2001-01-26

Other Names

Stephen Baker

View on SEC IAPD