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James Baka

U.S. Bancorp Advisors, LLC
33 Years of Experience
Naperville, IL
1 DisclosureBroker
View SEC Summary
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James Baka is a registered investment advisor at U.S. Bancorp Advisors, LLC, based in Naperville, IL, with 33 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning. Their firm serves 3,343 clients with $1.8B in assets under management.

U.S. Bancorp Advisors, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
1158 advisors
IM Fee
Planning only
Assets Under Management
$1.8B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
  • Financial planning services — Currently offered at no cost, providing personalized reports to assess financial goals and retirement readiness.
One-Time Plan:$0
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Location

4455 Montgomery Rd, Naperville, IL, 60564

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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
June 2010
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is a board member for Rush Copley Medical Center, a non-profit hospital, since 2015. He dedicates minimal time to this activity, which includes serving on a finance subcommittee.

Employment History
Current Registrations
U.S. Bancorp Advisors, LLC
February 2026 - Present · 8 mos
U.S. Bancorp Advisors, LLCBroker
February 2026 - Present · 8 mos
Previous Registrations
U.S. Bancorp Investments, INC.
August 2023 - February 2026 · 2 yrs 6 mos
U.S. Bancorp Investments, INC.Broker
July 2023 - February 2026 · 2 yrs 7 mos
Transcend Capital Advisors, LLC
September 2022 - February 2023 · 5 mos
Calamos Wealth Management LLC
October 2007 - March 2022 · 14 yrs 5 mos
Calamos Financial Services LLCBroker
April 2003 - March 2022 · 18 yrs 11 mos
Calamos Advisors LLC
April 2003 - October 2007 · 4 yrs 6 mos
Strategic Advisers, INC.
February 1999 - April 2003 · 4 yrs 2 mos
Fidelity Brokerage Services LLCBroker
June 1995 - April 2003 · 7 yrs 10 mos
Hamilton Investments, INC.Broker
June 1992 - January 1995 · 2 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1990 - December 1990 · 2 mos
American Express Financial Advisors INC.Broker
August 1990 - September 1990 · 1 mo
Ids Life Insurance CompanyBroker
August 1990 - September 1990 · 1 mo
State Registrations3 states
ILMNWI
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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