Dana J Baik

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

• 03/2011 → 12/2020
  Jackson National Life Distributors Llc
  Franklin, TN
• 01/2021 → 11/2022
  Unemployed
  Glendale, CA
• 12/2022 → 04/2026
  Westgate Wealth Strategies
  Glendale, CA
• 12/2022 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2006-08-11 → 2007-07-18
  Banc Of America Investment Services, Inc.
  Hartford, CT
  Rocky Hill, CT
  Middletown, CT
  Middletown, CT
• 2001-05-23 → 2006-08-16
  Citigroup Global Markets Inc.
  Hartford, CT
  West Hartford, CT

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 09/1993; APX NUMBER OF HOURS PER WEEK: None; APX NUMBER OF HOURS DURING TRADING HOURS: None; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: PANACEA PARTNERS, LLC; INVESTMENT RELATED: NO; ADDRESS: 1745 EL RITO AVENUE, GLENDALE, CA 91208; NATURE OF BUSINESS: RENTAL PROPERTY OWNERSHIP; START DATE: 09/2021; POSITION/TITLE/RELATIONSHIP: SOLE MEMBER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: ENTITY CREATED FOR RENTAL PROPERTY OWNERSHIP; 3. NAME OF OTHER BUSINESS: CREATIVE LIGHT ENTERPRISES - C CORPORATION; INVESTMENT RELATED: NO; ADDRESS: 1745 EL RITO AVENUE, GLENDALE, CA 91208; NATURE OF BUSINESS: REAL ESTATE RENTAL PROPERTIES START DATE: 09/2021; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: NONE; 4. NAME OF OTHER BUSINESS: DANA BAIK - LIVING TRUST; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY - VARIOUS PROPERTIES IN NJ AND CA; START DATE: 12/2015; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: OVERSEE PROPERTY MANAGER AND MAKE SURE BILLS ARE PAID; 5. NAME OF OTHER BUSINESS: NEW ENGLAND ECO WASH, LLC; INVESTMENT RELATED: NO ; ADDRESS: 473 HOMESTEAD AVENUE HOLYOKE, MA 01040; NATURE OF BUSINESS: INDUSTRIAL CLEANING; START DATE: 09/2022; POSITION/TITLE/RELATIONSHIP: CFO/MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MANAGE BANK RELATIONSHIPS AND OVERSEE STAFF WHO PERFORM TREASURY/ACCOUNTING FUNCTIONS; 6. NAME OF OTHER BUSINESS: BAIK & ASSOCIATES WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 8, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-04-05
• S63 Uniform Securities Agent State Law Examination
  1993-06-11

Other Names

• Dana J Baik
• Dana Jon Baik
• Dana J Balk