James Baird is a registered investment advisor, based in Naples, FL, with 47 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Naples, FL
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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.
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James serves as an Elder and Trustee for New Life Presbyterian Church, managing the church's excess cash by buying short-term treasury bills and notes. This activity requires minimal time.
Employment History
Current Registrations
Keel Point Capital, LLC
Keel Point Capital, LLCBroker
Compass Ion Advisors, LLC
Previous Registrations
Ege Advisors, LTD.
Apw Capital, INC.Broker
Comprehensive Capital Management, INC.
Ege Advisors, LTD.
Emerging Growth Equities, LTD.Broker
Investec Pmg CapitalBroker
Prudential Securities IncorporatedBroker
Drexel Burnham Lambert IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Salomon BrothersBroker
State Registrations6 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.
Exams
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