John Joseph 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
WA	RA	APPROVED	2003-02-03

WA RA
APPROVED

Since 2003-02-03

Branch Locations

Lacey, WA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Lacey	WA	02/2003	Present

02/2003 → Present

Lpl Financial, Llc

Lacey, WA

Previous Registrations

2001-07-30 → 2003-02-06

Woodbury Financial Services, Inc.

Bellevue, WA

Other Businesses

1. 1/27/2004 - NON-VARIABLE INSURANCE - OUTSIDE SALES OF NON-VARIABLE INSURANCE - LACEY, WA. 2. 10/17/2013: DBA ONLY - SOUND INVESTMENT SERVICES LLC - LACEY, WA.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-24
S63	Uniform Securities Agent State Law Examination	1998-06-30

S65 Uniform Investment Adviser Law Examination

1999-12-24
S63 Uniform Securities Agent State Law Examination

1998-06-30

View on SEC IAPD