Bernell D Baker

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2015-07-15
TX	RA	APPROVED_RES	2013-03-22
IL	RA	APPROVED	2012-11-12

UT RA
APPROVED

Since 2015-07-15
TX RA
APPROVED_RES

Since 2013-03-22
IL RA
APPROVED

Since 2012-11-12

Branch Locations

Eagle Mountain, UT • 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
Aliant Credit Union	Rolling Meadows	IL	11/2012	Present
Lpl Financial Llc	Charlotte	NC	11/2012	Present

11/2012 → Present

Aliant Credit Union

Rolling Meadows, IL
11/2012 → Present

Lpl Financial Llc

Charlotte, NC

Previous Registrations

2012-10-01 → 2012-11-02

J.P. Morgan Securities Llc

Warrenville, IL

Bloomingdale, IL
2010-03-16 → 2012-10-01

Chase Investment Services Corp.

Bloomingdale, IL

Glendale Heights, IL

Chicago, IL

Warrenville, IL

Warrenville, IL

Aurora, IL

Other Businesses

1. 11/12/12- DBA ONLY / ALLIANT RETIREMENT AND INVESTMENT SERVICES / ROLLING MEADOWS, IL. 2. 1/30/2013: NON-VARIABLE INSURANCE - INSOURCE, INC. - AN INSURANCE MARKETING ORGANIZATION THAT WILL ALLOW ME TO PLACE INSURANCE AND ANNUITY BUSINESS WITH MULTIPLE CARRIERS. FIXED ANNUITIES - TIME SPENT 10% - ROLLING MEADOWS, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-03-13
S63	Uniform Securities Agent State Law Examination	2008-03-27

S66 Uniform Combined State Law Examination

2010-03-13
S63 Uniform Securities Agent State Law Examination

2008-03-27

View on SEC IAPD