Carrie Baker
Carrie Baker is a registered investment advisor at LPL Financial LLC, based in New Albany, IN, with 16 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
3000 Technology Ave, New Albany, IN, 47150
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Regulatory History
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
Carrie sells non-variable insurance, dedicating minimal time to it. She also participates in a multi-level marketing business (Nature's Sunshine Products, Inc.), owns a homestead business, rental real estate, and is a notary.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
Geneos Wealth Management, INC.Broker
Geneos Wealth Management, INC.
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
State Registrations21 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.