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James Stephen Baker

Edelman Financial Engines

Austin, TX

Fairfax, VA

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Current Employers
Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-11-01
VA RA APPROVED 2018-11-01
  • TX RA
    APPROVED_RES
    Since 2018-11-01
  • VA RA
    APPROVED
    Since 2018-11-01

Branch Locations

Austin, TX • United States

4000 Legato Road 8Th Floor, Fairfax, VA 22033 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edelman Financial Services, Inc. Fairfax VA 08/1999 11/2018
Ef Legacy Securities, Llc Henrico VA 04/2016 10/2018
Financial Engines Advisors L.L.C. Sunnyvale CA 11/2018 Present
  • 08/1999 → 11/2018
    Edelman Financial Services, Inc.
    Fairfax, VA
  • 04/2016 → 10/2018
    Ef Legacy Securities, Llc
    Henrico, VA
  • 11/2018 → Present
    Financial Engines Advisors L.L.C.
    Sunnyvale, CA
Previous Registrations
  • 1999-09-15 → 2018-11-01
    Edelman Financial Services, Llc
    Fairfax, VA
    Fairfax, VA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-02
S63 Uniform Securities Agent State Law Examination 1999-08-17
  • S65 Uniform Investment Adviser Law Examination
    1999-09-02
  • S63 Uniform Securities Agent State Law Examination
    1999-08-17
Designations
Other Names
  • Jim Baker
  • James S Baker

View on SEC IAPD

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