James Bradford 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:

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

Current Employers

Employment History

• 11/2000 → 02/2018
  Edward Jones
  St Louis, MO
• 02/2018 → Present
  Lpl Financial Llc
  Bristol, TN

Previous Registrations

• 2007-03-13 → 2018-02-27
  Edward Jones
  Bristol, TN

Other Businesses

1. 8/23/2019 - ABC Financial - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 07/01/2019 - 40 Hours Per Month During Securities Trading - Move from a sole proprietor to an s-corp. 2. 6/9/2020 - Baker Wealth Strategies - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 06/08/2020 - 40 Hours Per Month/8 Hours During Securities Trading. 3. 07/17/2024 - Other - Author - Children's Book - Not Investment Related - Home Based - Start Date 12/02/2024 - 2 Hours Per Month/ 0 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2007-03-02
• S63 Uniform Securities Agent State Law Examination
  1999-06-21

Other Names

• Brad Baker