Richard Lee Baker

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-01-13
MO	RA	APPROVED	2021-12-22

TX RA
APPROVED

Since 2022-01-13
MO RA
APPROVED

Since 2021-12-22

Branch Locations

2730 E Sunshine St, Springfield, MO 65804 • 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
Lawing Financial Inc.	Overland Park	KS	02/2009	10/2017
Cambridge Investment Research, Inc	Fairfield	IA	07/2010	04/2018
Prime Capital Investment Advisors, Llc	Overland Park	KS	07/2017	11/2021
Private Client Services	Louisville	KY	04/2018	11/2021
Lpl Financial Llc	Springfield	MO	11/2021	Present

02/2009 → 10/2017

Lawing Financial Inc.

Overland Park, KS
07/2010 → 04/2018

Cambridge Investment Research, Inc

Fairfield, IA
07/2017 → 11/2021

Prime Capital Investment Advisors, Llc

Overland Park, KS
04/2018 → 11/2021

Private Client Services

Louisville, KY
11/2021 → Present

Lpl Financial Llc

Springfield, MO

Previous Registrations

2017-08-01 → 2021-11-29

Prime Capital Financial

Springfield, MO

Overland Park, KS

Springfield, MO
2009-02-27 → 2017-10-13

Lawing Financial Inc

Springfield, MO

Overland Park, KS

Overland Park, KS

Springfield, MO

Springfield, MO
2009-01-23 → 2009-02-03

Lpl Financial Llc

Marshfield, MO

Other Businesses

1)11/29/2021 - Southern Baptist Convention. Rev. Richard Baker - Minister - Non-Inv Rel - Springfield, MO - Start: 06/1995 2)10/29/2021 - Seminar - Instructor - Done as part of financial advising practice - Inv Rel - At Reported Business Location(s) - Start: 02/2009 - 4 Hr/Mth 3) 05/16/2022-How do I Retire- Not Investment Related-"Home Based"- Other - Author- START DATE:05/01/2022-2Hours Per Month/2 Hours During Securities Trading. 4)06/08/2022 - Biblical Retirement - Not Investment Related - Home Based - Other - Author - Author - Start Date - 06/07/2022 - 1 Hours Per Month/ 0 Hours During Securities Trading. 5)06/09/2022 - HCHeadwaters Properties, LLC - Investment Related At Reported Business Location(s) - Real Estate Rental - Start Date - 1 Hours Per Month/ 0 Hours During Securities Trading. 6) 11/28/2022 - Fervent Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 12/01/2022 - 40 Hours Per Month/32 Hours During Securities Trading 7.04/29/2025 - Allegis Advisor Group - Non-Variable Insurance - Investment Related - Sandy, UT - 1 Hrs/Mth - 1 Hrs During Trading -Start Date:05/01/2025

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-01-22
S63	Uniform Securities Agent State Law Examination	2008-02-22

S66 Uniform Combined State Law Examination

2009-01-22
S63 Uniform Securities Agent State Law Examination

2008-02-22

View on SEC IAPD