SB
SB

Seth Baker

16 Years of Experience
Ada, MI
BrokerSells Insurance

Seth Baker is a registered investment advisor at USA Financial Securities Corporation, based in Ada, MI, with 16 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 1,750 clients with $300M in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
141 advisors
Number of Clients
1,750 clients
Average Client Portfolio
$172K average
Assets Under Management
$301.5M

Fee Structure

Minimum Investment:$15K
Investment management only (planning not offered)

USA Financial Securities offers two advisory account management options:

  • Transaction-based pricing: You pay a lower custodial and administrative fee, plus individual transaction fees.
  • Asset-based pricing: You pay a higher custodial and administrative fee that includes transaction costs. This is best for clients who anticipate moderate to high levels of trading activity.

Representatives may also provide access to third-party money managers. The fees for these managers vary and are disclosed in their own brochures. Representatives may also offer customized financial strategies with varying fee structures, detailed in the representative's disclosure supplement. The maximum management fee charged by USA Financial Securities is 2.7%.

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Location

6020 E. Fulton Street, Ada, MI, 49301

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Other Business ActivitiesSells Insurance

Seth is the president of Twigg Financial, Inc. since 2010, selling life, health, long-term care, and annuity products, dedicating minimal time during trading hours. Seth also owns rental property with Lindsay Baker.

Employment History
Current Registrations
USA Financial Securities Corporation
December 2011 - Present · 14 yrs 5 mos
USA Financial Securities LLCBroker
December 2011 - Present · 14 yrs 5 mos
Previous Registrations
Metlife Securities INC.
June 2009 - January 2010 · 7 mos
Metlife Securities INC.Broker
May 2009 - January 2010 · 8 mos
Park Avenue Securities LLCBroker
August 2007 - May 2009 · 1 yr 9 mos
State Registrations14 states
ALFLGAMDMINCNYOHPASCTXUTVAWV
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.