James Warren Baker
Investment adviser representative at LPL Financial LLC
22 yearsExperience
1 stateRegistered in
CFP® certification, ChFC®Designations
$819.1BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
22 years in the industry.
- LPL Financial LLCMay 2025 to now
- Grove Point Advisors, LLCApr 2021 to May 2025
- Grove Point Investments, LLCApr 2021 to May 2025
- H. Beck, Inc.Dec 2017 to Mar 2021
- Fsc Securities CorporationFeb 2004 to Dec 2017
Designations
- CFP® certification
- ChFC®
Exams passed
- Series 63 · Uniform Securities Agent State Law1996
- Series 65 · Uniform Investment Adviser Law1998
State registrations
Registered as an investment adviser representative in 1 state (PA).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2661583
- Firm CRD
- 6413