Brad Eugene Baker

Employer firm

Kestra Advisory Services, LLC CRD 283330

$79.8B regulatory AUM 6,392 advisory clients

Reported services (Item 5G)

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

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

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

Current Employers

Employment History

• 08/2014 → 12/2016
  Allstate Insurance Co
  Goodyear, AZ
• 12/2016 → 08/2021
  Compass Bank
  Birmingham, AL
• 12/2016 → 08/2021
  Bbva Compass Insurance Agncy, Inc.
  Austin, TX
• 12/2016 → 08/2021
  Bbva Securities Inc.
  Glendale, AZ
• 12/2016 → 08/2021
  Bbva Wealth Solutions Inc.
  Glendale, AZ
• 08/2021 → 08/2021
  Pnc Investments
  Peoria, AZ
• 08/2021 → Present
  Kestra Investment Services Llc
  Litchfield Park, AZ
• 08/2021 → Present
  Kestra Advisory Services Llc
  Litchfield Park, AZ

Previous Registrations

• 2016-12-22 → 2021-08-17
  Pnc Managed Account Solutions, Inc.
  Glendale, AZ
• 2014-10-06 → 2016-12-12
  Allstate Financial Advisors, Llc
  Goodyear, AZ
• 2009-01-28 → 2013-02-04
  Lpl Financial Llc
  Sun City West, AZ
  Litchfield Park, AZ
  Glendale, AZ
  Glendale, AZ
  San Diego, CA
  Glendale, AZ
  Avondale, AZ
  Glendale, AZ
• 2006-07-13 → 2009-01-21
  Cue Financial Group, Inc.
  Glendale, AZ
• 2005-02-10 → 2006-07-19
  Cetera Wealth Services, Llc
  Phoenix, AZ
  Glendale, AZ
  Glendale, AZ
  Avondale, AZ
  Peoria, AZ

Other Businesses

Business Name: Baker Asset Management Investment Related: No Address: 13820 W. Weaver Court Litchfield Park AZ 85340 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Certified Financial Planner Start Date: 1/1/2022 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment ServicesBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 SW Parkway, Bldg 2 Ste 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Certified Financial Planner Start Date: 8/17/2021 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment ServicesBusiness Name: Brad E. Baker Investment Related: No Address: 17505 N. 79th Ave, Suite 306 Glendale AZ 85308 Nature of Business: Tax/Accounting/CPA Position, Title or Relationship: Sole Prop Start Date: 1/1/2022 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Completing less than 30 tax returns

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-05-21
• S63 Uniform Securities Agent State Law Examination
  1986-10-09

Designations

• Certified Financial Planner