Vernon G. Baker

Current Employers

Employment History

• 03/1993 → Present
  Osaic Wealth, Inc.
  Berlin, CT
• 07/1993 → Present
  Allianz Life
  Dallas, TX
• 08/2002 → Present
  Bach Investments Plus
  Berlin, CT

Previous Registrations

• 2006-03-07 → 2012-04-10
  Bach Investments Plus Llc
  Berlin, CT

Other Businesses

1. VERNON G. BAKER & BACH WEALTH MANAGEMENT, LLC POS: Member NATURE: LLC INVESTMENT RELATED: Yes # OF HRS: 10 SECURITIES TRADING HRS: 10 START DATE: 7/1/84 ADDY: Farmington CT 06032 DESCRIPTION: Sales & service of life, health, disability and LTC. 2. MORTGAGE, YES, VERNON G. BAKER & BACH INVESTMENTS PLUS, LLC, , CT 06037, MEMBER, 2006, 0, 0, THIS IS NOT AN ACTIVE PART OF MY BUSINESS. 3. BACH INVESTMENTS PLUS,LLC, YES, , CT 06037, REGISTERED INVESTMENT ADVISER, 2006, 0, 0, NOT AN ACTIVE PART OF MY BUSINESS. WHEN QUESTIONED ABOUT TAX MATTERS, I REFER CLIENTS TO AT LEAST THREE CPA'S, ONE OF WHOM IS A CLIENT. NO COMPENSATION IS PROVIDED FOR ANY REFERRAL. DISCLOSING THIS ACTIVITY DUE TO A POTENTIAL CONFLICT OF INTEREST. 4. TRUST RELATED SERVICES (TRUST RELATED ACTIVITIES ARE LIMITED TO REFERRING CLIENTS TO AN ATTORNEY TO OBTAIN A TRUST DOCUMENT/GATHERING REQUESTED INFO IN OPERATION W/THE ATTORNEY.), YES, BACH INVESTMENTS PLUS, LLC, BERLIN, CT 06037, REG INVESTMENT ADISER, 2006, 0, 0, WHEN QUESTIONED ABOUT WILLS AND TRUSTS, I REFER CLIENTS TO AT LEAST THREE ATTORNIES, TWO OF WHOM ARE CLIENTS. NO COMPENSATION IS PROVIDED FOR ANY REFERRAL. DISCLOSING THIS ACTIVITY DUE TO A POTENTIAL CONFLICT OF INTEREST. 5. TRUSTEE, NO, TRUSTEE FOR BUSINESS PARTNER, NEW BRITAIN, CT, 11/22/2003, 1, 0, WRITE ANNUAL INCOME CHECKS TO BENEFICIARIES; FOR FEDERAL AND STATE INCOME TAXES.6. NON-PROFIT BOARD OF DIRECTORS, NO, FRIENDSHIP SERVICE CENTER, CT 06051, BOARD MEMBER, 1/23/07, 2, 0, FOR THE ORG MGMT & USE OF & ACCOUNTING FOR THE ASSETS; CONTROL & APPROVAL OF ACTIVITIES & MAJOR FINANCIAL TRANSACTIONS; REVIEW & APPROVAL OF ANNUAL BUDGET & ANY REVISIONS THEREFORE; APPOINTMENT,REVIEW & APPROVAL OF EXECUTIVE DIRECTOR,ASSIGNMENT OF HIS DUTIES & HIS SALARY INCREASES; REVIEW & APPROVAL OF POLICIES & PROCEDURES ON A YRLY BASIS; YEARLY PLANNING, REVIEW & REVISION OF GOALS & OBJECTIVES; FUNDRAISING EFFORTS; & ANNUAL REVIEW OF THE ORGANIZATION CHART. 7. NON-PROFIT BOARD OF DIRECTORS, NO, FRIENDSHIP SERVICE CENTER OF NEW BRITAIN, CT 06051, BOARD MEMBER, 7/30/2008, 1, 0, WE REVIEW THE INVESTMENTS, ENDOWMENT & ASSIST & ADVISE THE PORTFOLIO MANAGER. AS SUCH, I HAVE NO CONTROL OF THE FINANCIAL FINANCES.WE REVIEW THE INVESTMENTS, ENDOWMENT, AND ASSIST AND ADVISE THE PORTFOLIO MANAGER. I HAVE NO CONTROL OF THE FINANCES. 8. NON-PROFIT, NO, FIRST BAPTIST CHURCH OF WEST HARTFORD, WEST HARTFORD, CT 06107, COMMITTEE MEMBER, 5/28/10, 1, 0, WE REVIEW THE INVESTMENTS, ENDOWMENT/ASSIST & ADVISE THE PORTFOLIO MGR. I HAVE NO CONTROL OF THE FINANCIAL FINANCES. 9. INVESTMENT ADVISORY SERVICES, YES, ROYAL ALLIANCE ASSOCIATES, BERLIN, CT, 06037, REGISTERED INVESTMENT ADVISER, 6/1996, 160, 160, ADVISE CLIENTS ABOUT INVESTMENTS. 10. THE FOUNDATION LEADERSHIP COUNCIL OF THE UNIVERSITY OF VERMONT FOUNDATION POSITION: Council Member NATURE: I am a council member of a non-profit, educational foundation. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/09/2018 ADDRESS: 411 Grasse Mount, Burlington VT 05401, United States DESCRIPTION: I attend semi-annual meetings of the University of Vermont's Leadership council. These meetings are typically held for 2 days, of 6 hours each day. 11. THE FRIENDSHIP SERVICE CENTER POSITION: Board Member - NATURE: Non-Profit - INVESTMENT RELATED: No # OF HRS: 2 SECURITIES TRADING HRS: 0 START DATE: 1/23/07 ADDRY: CT 06051, United States DESCRIPT: organization, MGMT & use of & accounting for the assets; control & approval of activities & major financial transactions; review & approval of annual budget & any revisions therefore; appt, review & approval of Executive Director, assignment of his duties & his salary increases; review & approval of policies & procedures on a yrly basis; yearly planning, review & revision of goals & objectives; fundraising efforts; & annual review of the organization chart; review the endowment investment allocation and Investment Policy Statement. I have no control of finances.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-08-22
• S63 Uniform Securities Agent State Law Examination
  1994-04-29

Designations

Other Names

• Vernon George Baker