Nicholas Joseph Baker

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2016 → 08/2023
  Securian Financial Services Inc
  St Paul, MN
• 04/2016 → 08/2023
  Minnesota Life Insurance Company
  St Paul, MN
• 04/2016 → Present
  Img Financial Group
  Houston, TX
• 05/2022 → 04/2026
  Total Nutrition
  Houston, TX
• 08/2023 → Present
  Cetera Wealth Services, Llc
  Houston, TX
• 08/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2016-09-07 → 2023-08-10
  Securian Financial Services, Inc.
  Houston, TX
  St. Paul, MN

Other Businesses

1) ARDENT SOLUTIONS POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 03/01/2018 ADDRESS: , Sugarland TX , United States DESCRIPTION: Agent/Broker 2) HARRIS COUNTY MUNICIPAL UTILITY DISTRICT POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2018 ADDRESS: , Houston TX , United States DESCRIPTION: Advisory Board 3) HOUSTON A&M CLUB POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 03/01/2016 ADDRESS: , Houston TX , United States DESCRIPTION: Advisory Board 4) IMG FINANCIAL GROUP POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2018 ADDRESS: , Houston TX , United States DESCRIPTION: Agent/Broker 5) IMG MEDICAL GROUP POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2018 ADDRESS: , Houston TX , United States DESCRIPTION: Agent/Broker 6) RICHMOND LANDING FAMILY DENTISTRY POSITION: Brand Ambassador NATURE: Brand Ambassador INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2021 ADDRESS: 941 E Hwy 90 Alt, Richmond TX 77406, United States DESCRIPTION: A Brand Ambassador

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-08-30
• S63 Uniform Securities Agent State Law Examination
  2015-08-21