James Michael Baker

Current Employers

First Citizens Investor Services, Inc.

8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2020-07-15

NC RA
APPROVED

Since 2020-07-15

Branch Locations

6550 Knightdale Blvd, Knightdale, NC 27545 • United States

40 Page Dr, Pinehurst, NC 28374 • United States

2520 Timber Drive, Garner, NC 27529 • 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	Robbins	NC	12/2013	07/2020
First Citizens Investor Services	Raleigh	NC	07/2020	Present

12/2013 → 07/2020

Lpl Financial

Robbins, NC
07/2020 → Present

First Citizens Investor Services

Raleigh, NC

Previous Registrations

2013-12-11 → 2020-07-15

Lpl Financial Llc

Robbins, NC

San Diego, CA

Pinehurst, NC

Shelby, NC
2009-08-20 → 2013-12-24

Wells Fargo Clearing Services, Llc

Pinehurst, NC

Southern Pines, NC

Raleigh, NC

Other Businesses

St Andrews Condominiums HOA board member. Not investment related, votes on dues increases and maintenance contracts for building. 1 hr a month. Started 10/2021.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-08-19

S66 Uniform Combined State Law Examination

2009-08-19

Other Names

James Baker

View on SEC IAPD