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CFP

Ronald Baker

Raymond James Financial Services Advisors, INC
32 Years of Experience
Albuquerque, NM
2 DisclosuresBroker
View SEC Summary
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Ronald Baker is a CFP-designated registered investment advisor at Raymond James Financial Services Advisors, INC, based in Albuquerque, NM, with 32 years of industry experience. Ronald is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

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

Location

9798 Coors Boulevard Nw, Building D, Albuquerque, NM, 87114

Get directions

History

Regulatory History (2)
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
January 2003
Settled
Customer Dispute
December 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Ronald is a finance/investment committee member, dedicating minimal time to reviewing investment policies and holdings. He also owns rental real estate and spends minimal time monitoring finances and tax filings, while spending about half his time as a CFP, wealth advisor, and business owner at Baker Wealth Planning Group.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
May 2017 - Present · 9 yrs 5 mos
Raymond James Financial Services, INC.Broker
May 2017 - Present · 9 yrs 5 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - May 2017 · 7 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - May 2017 · 7 yrs 7 mos
Banc of America Investment Services, INC.
September 1998 - October 2009 · 11 yrs 1 mo
Banc of America Investment Services, INC.Broker
March 1998 - October 2009 · 11 yrs 7 mos
Ba Investment Services, INC.Broker
August 1997 - March 1998 · 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1992 - December 1995 · 3 yrs 3 mos
State Registrations19 states
AZCACOFLGAHIILINKSNCNMNVOKORPATNTXVAWA
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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