DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Christopher Harold Baker

Cetera Investment Advisers LLCBD affiliatedDallas, Tx dual registrantIAPD 5045629

Certified Financial Planner

Feed of 09/15/2026

Also filed as Christopher H Baker

At current firm

0 y

since Jun 5, 2026

In the industry

20 y

since Jun 13, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Cetera Investment Advisers LLC BD affiliated current
since Jun 5, 2026 · Dallas, Tx
Avantax Planning Partners, Inc. BD affiliated current
since Jun 5, 2026 · Dubuque, Ia
Northwestern Mutual Investment Services,LLC no RAUM
Jan 7, 2026 to May 12, 2026 · Addison, Tx
LPL Financial LLC BD affiliated
Sep 7, 2022 to Dec 9, 2025 · Dallas, Tx
Ameriprise Financial Services, LLC national BD
Apr 1, 2013 to Aug 23, 2013 · Vestavia, Al
Sterne Agee Asset Management, Inc. former
Feb 19, 2013 to Mar 25, 2013 · Bhm, Al
Morgan Stanley wirehouse
Apr 16, 2012 to Jun 27, 2012 · Birmingham, Al
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jun 13, 2006 to Apr 17, 2012 · Birmingham, Al

Moves

a registration end followed by a registration begin elsewhere

Northwestern Mutual Investment Services,LLC to Cetera Investment Advisers LLC
left May 12, 2026, registered Jun 5, 2026 (24 days) · Other
LPL Financial LLC to Northwestern Mutual Investment Services,LLC
left Dec 9, 2025, registered Jan 7, 2026 (29 days) · Other
Ameriprise Financial Services, LLC to LPL Financial LLC
left Aug 23, 2013, registered Sep 7, 2022 (3302 days) · Affiliated broker-dealer or bank to independent RIA
Sterne Agee Asset Management, Inc. to Ameriprise Financial Services, LLC
left Mar 25, 2013, registered Apr 1, 2013 (7 days) · Other
Morgan Stanley to Sterne Agee Asset Management, Inc.
left Jun 27, 2012, registered Feb 19, 2013 (237 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley
left Apr 17, 2012, registered Apr 16, 2012 (-1 days) · Wirehouse to wirehouse

Signals

Christopher Harold Baker left Northwestern Mutual Investment Services,Llc for Cetera Investment Advisers Llc (registered 2026-06-05)
May 12, 2026 · Advisor changed firm · fact
Christopher Harold Baker left Lpl Financial Llc for Northwestern Mutual Investment Services,Llc (registered 2026-01-07)
Dec 9, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address