Scott Tilton Baker

Current Employers

Employment History

• 09/2014 → 05/2020
  Ubs Financial Services Inc.
  Fort Collins, CO
• 05/2020 → Present
  Rbc Capital Markets, Llc
  Fort Collins, CO

Previous Registrations

• 2014-09-24 → 2020-05-22
  Ubs Financial Services Inc.
  Fort Collins, CO
• 1998-07-20 → 2014-09-24
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fort Collins, CO
  Ft. Collins, CO

Other Businesses

1)High Plains Scuba / 115 West Harvard Fort Collins,CO 80525 / Other/ Sport & Leisure Facilities / Scuba Diving Retail and Training / Swim School / Member of Board of Directors / / Training and Certification of Scuba Diving Instructors / Start Date LLC 3/15/16 / (2) East Larimer County Water District / Fort Collins United States,Colorado / No/ Current Term Started May 2012 Potable Water Supply and Distribution / No / Elected or appointed position with any government body, including executive, legislative, judicial or quasi-judicial / / Set Policy for the Water District / Start Date 5/1/2000 1200 USD as mandated by Colorado Law (2)1.NAME: RAGING FLOUNDER, INC. 2.INVESTMENT RELATED: (NO) 3.ADDRESS: 2004 LAKEVIEW DRIVE, FORT COLLINS, CO 80524 4.NATURE: SCUBA DIVING INSTRUCTION 5.YOUR POSITION, PRESIDENT, SOLE STOCK OWNER, SOLE EMPLOYEE 6.START DATE: 1/1/1995 7.NUMBER OF HOURS DEVOTED PER MONTH: >20 8.NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: >2 9.DUTIES: CONTRACT SCUBA DIVING INSTRUCTION TO LOCAL DIVING SCHOOL 1.RED CROSS, CENTENNIAL CHAPTER 120 SATURN DR FORT COLLINS CO. 80525-3924.DISASTER RELIEF, US ARMS SERVICE EMERGENY NOTIFICATION, FIRST AID EDUCATION.PRESIDENT/ FINANCE SUBCOMMITTEE MEMBER.START DATE: 01-JAN-2007.11-20 PER MONTH, 1-10 DURING TRADING HOURS. NOT INVESTMENT RELATED. (3)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: EAST LARIMER COUNTY WATER DISTRICT INVESTMENT RELATED: NO ADDRESS OF BUSINESS: COLORADO NATURE OF BUSINESS: OTHER COMPENSATION FOR ACTIVITY: YES POSITION, TITLE, ASSOCIATION: DIRECTOR START DATE OF RELATIONSHIP: 05/01/2000 NUMBER OF HOURS DEVOTED: 6 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 HOUR(S) MONTHLY DUTIES: ATTEND BOARD MEETING AND SET POLICY FOR WATER DISTRICT./Colorado State University / Fort Collins United States,Colorado coloradostate.edu / No/ Lynn Johnson, Vice President University Operations Date of appointment is ASAP, when I have OK through AOL. I have made the committee aware of my obligation to get this activity pre-approved Investment Commitee to oversee Post Employment Benefits Trust / Yes / 42597 / / Yes / Start Date 8/15/2016/Appointed UBS Financial S. - Wilmington / (4) Name: East Larimer County Water District Address: 232 South Link Lane Fort Collins CO 80524 Business Description: Municipal Water District, Colorado Special District Business is not investment related Projected Start Date: 05/16/00 Capacity: Board of Directors *, Treasurer, Elected Official (Non-Political Office) Duties Performed: Board members set policy for the district to include budgeting for operations and capital projects. The district board also collaborates with other area municipalities on various water policy and projects to include storage, treatment and transportation. Devoted to this OBA per Month: 5 Hours Devoted to this OBA during business hours: 1 (5) Name: High Plains Scuba, Inc Address: 115 W Harvard St Fort Collins, CO 80525 Business Description: Scuba Diving Retail and Instruction Business is not investment related Projected Start Date: 03/01/16 Capacity: Board of Directors * Duties Performed: Minimal participation, Instructor meetings, director's meetings, but I am not always a participant in either Devoted to this OBA per Month: Less than 1 Hours Devoted to this OBA during business hours: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-09-16
• S63 Uniform Securities Agent State Law Examination
  1980-09-05