TrueAdvisor
TrueAdvisor
JB
JB

Jason Baker

Cambridge Investment Research Advisors, INC.
31 Years of Experience
Charlotte, NC
6 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Jason Baker is a registered investment advisor at Cambridge Investment Research Advisors, INC., based in Charlotte, NC, with 31 years of industry experience. Jason is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.

Cambridge Investment Research Advisors, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3940 advisors
Number of Clients
361,213 clients
Average Client Portfolio
$384K average
Assets Under Management
$138.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.

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

Location

10955 Winds Crossing Drive, Suite 100, Charlotte, NC, 28273

Get directions

History

Regulatory History (6)
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
August 2025
Pending
Customer Dispute
April 2007
Closed-No Action
Customer Dispute
March 2004
Dismissed
Customer Dispute
April 2000
Denied
Customer Dispute
April 1999
Denied
Employment Separation After Allegations
October 1996
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Jason is the owner of Baker Wealth Management, working full-time as a financial professional. He also engages in several real estate activities and is an independent insurance agent selling term life and permanent liability insurance products, dedicating minimal time to this.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
February 2010 - Present · 16 yrs 8 mos
Cambridge Investment Research, INC.
January 2010 - Present · 16 yrs 9 mos
Cambridge Investment Research, INC.Broker
January 2010 - Present · 16 yrs 9 mos
Previous Registrations
Gunnallen Financial, INCBroker
July 2004 - January 2010 · 5 yrs 6 mos
Gunnallen Financial, INC
July 2004 - January 2010 · 5 yrs 6 mos
Raymond James Financial Services
December 2001 - July 2004 · 2 yrs 7 mos
Raymond James Financial Services, INC.Broker
May 1999 - July 2004 · 5 yrs 2 mos
J.P. Turner & Company, L.L.C.Broker
September 1997 - April 1999 · 1 yr 7 mos
Rm Stark & CO INC.Broker
November 1996 - October 1997 · 11 mos
Dickinson & CO.Broker
January 1995 - October 1996 · 1 yr 9 mos
State Registrations23 states
ALAZCOCTDCFLGAHIIDILINKYLAMDNCNJPASCTNTXUTVAWV
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.
More Advisors
More financial advisors in Charlotte, NC →All financial advisors in North Carolina →