Richard Baker
Richard Baker is a registered investment advisor at LPL Financial LLC, based in Springfield, MO, with 20 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
2760 E Sunshine St, Springfield, MO, 65804
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Regulatory History (2)
Customer Dispute
September 2019Customer Dispute
February 2014Other Business ActivitiesSells Insurance
Richard is a minister with the Southern Baptist Convention since 1995, an instructor for seminars, and an author of retirement-related materials. He also manages HCHeadwaters Properties, LLC, operates Fervent Wealth Management, LLC as a DBA for his LPL business, and is associated with Allegis Advisor Group selling non-variable insurance.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
Private Client Services, LLCBroker
Prime Capital Investment Advisors, LLC
Cambridge Investment Research, INC.Broker
Lawing Financial INC
The O.N. Equity Sales CompanyBroker
LPL Financial Corporation
LPL Financial CorporationBroker
Banc of America Investment Services, INC.Broker
Nylife Securities INC.Broker
State Registrations18 states
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.