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JB
CFP · ChFC
JB
CFP · ChFC

John Baker

Ameriprise Financial Services, LLC
40 Years of Experience
Erie, PA
1 DisclosureBroker
View SEC Summary
View SEC Summary

John Baker is a CFP, ChFC-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Erie, PA, with 40 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12908 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

652 W 6th St, Erie, PA, 16507-1173

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2010
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John owns commercial real estate and a tax preparation business. He also serves as treasurer and elder for Baker, dedicates time to Kingdom Advisory Services, and is involved with Kingdom Financial Foundation, focusing on educational seminars and charitable giving.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
April 2013 - Present · 13 yrs 6 mos
Ameriprise Financial Services, LLC
April 2013 - Present · 13 yrs 6 mos
Ameriprise Financial Services, LLCBroker
April 2013 - Present · 13 yrs 6 mos
Previous Registrations
Cetera Advisor Networks LLC
November 2005 - April 2013 · 7 yrs 5 mos
Cetera Advisor Networks LLCBroker
October 2005 - April 2013 · 7 yrs 6 mos
Blue Vase Securities, LLC
June 2004 - December 2005 · 1 yr 6 mos
Blue Vase Securities, LLCBroker
June 2004 - October 2005 · 1 yr 4 mos
Allegheny Investments, LTD.Broker
June 2001 - June 2004 · 3 yrs
H.D. Vest Investment Securities, INC.Broker
October 1999 - July 2001 · 1 yr 9 mos
Securities Service Network, INC.Broker
August 1998 - November 1999 · 1 yr 3 mos
Royal Alliance Associates, INC.Broker
February 1997 - June 1998 · 1 yr 4 mos
Metlife Securities INC.Broker
August 1985 - February 1997 · 11 yrs 6 mos
Metropolitan Life Insurance CompanyBroker
August 1985 - February 1997 · 11 yrs 6 mos
State Registrations7 states
AZFLMENYOHPAVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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