Dawn Marie Baker

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2010 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 01/2010 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 2004-07-01 → 2010-02-02
  Gunnallen Financial, Inc
  Albemarle, NC
  Charlotte, NC
• 2001-12-31 → 2004-07-01
  Raymond James Financial Services, Inc.
  Charlotte, NC

Other Businesses

1)BAKER WEALTH MANAGEMENT, 10955 WINDS CROSSING DR #100, CHARLOTTE, NC, SINCE 1/2010, AS OWNER OF SECURITIES DBA. INV REL - DEVOTES 40 HR/WK - 40 HR/TRADING. 2) DAWN BAKER, INDEPENDENT INSURANCE AGENT, 10955 WINDS CROSSING DR #100, CHARLOTTE, NC, SINCE 1/2010 SELLING LIFE, DISABILITY, & LTC PRODUCTS THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 1 HR/WK - 1/TRADING. 3) 3MB LLC, 16213 RIVERPOINTE DR, CHARLOTTE, NC 28278, 1 HOUR PER MONTH, 1 HOUR DURING TRADING, OWNER SINCE 9/6/13, REAL ESTATE HOLDING COMPANY (BUYING A BUILDING FOR OUR OFFICE) 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 1/2010 AS ADVISORY REP OF A RIA. INV REL - 10 HR/WK - 8/TRADING. 01/25/10 5) FINRA ARBITRATOR, ONE LIBERTY PLAZA, 165 BROADWAY 27TH FL, NEW YORK, NY, 6/2017. INV REL - 4/MO - 0/TRADING HR. 6) 2JD 10955 WINDS CROSSING DRIVE #1000, CHARLOTTE, NC, 06/15/21, NIR, OWNER, REAL ESTATE HOLDING COMPANY, 5 HR/WK- 0/TRADING HR. 7) AURORA INSURANCE GROUP, 10955 Winds Crossing Drive #100, Charlotte NC 28273, 08/2025, President, Insurance/Benefits/Human Resources, NIR, 4 HR/MO, 1 HR/MO TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-09-27
• S63 Uniform Securities Agent State Law Examination
  1998-11-13

Other Names

• Dawn Marie Antalik
• Dawn Marie Antalik