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Adam Seth Baker

Investment Adviser Representative at BOK FINANCIAL PRIVATE WEALTH, INC.

Scottsdale, AZCRD #4931050Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
16 yrs
States Registered
11 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Adam Seth Baker has worked in the securities industry since 2010. They are registered to provide investment advisory services in 11 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 11 states
ArizonaCaliforniaColoradoFloridaIdahoKansasMassachusettsNew MexicoOklahomaTexasWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 4/16/2021
Series 63
Uniform Securities Agent State Law Examination
Passed 4/14/2005
Series 7
General Securities Representative Examination
Passed 8/23/2007
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 4/6/2005

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.01
Asset tierAnnual rate
Up to $1,000,0001.00%
Over $1,000,000
Source

BOK Financial Private Wealth, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

BOK FINANCIAL PRIVATE WEALTH, INC.Current
1/11/2022Scottsdale, AZ
BOK FINANCIAL ADVISORSCurrent
4/30/2021Scottsdale, AZ
J.P. MORGAN SECURITIES LLC
10/23/20085/15/2012Scottsdale, AZ
J. P. MORGAN SECURITIES INC.
2/29/200810/1/2008Scottsdale, AZ

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Adam Seth Baker has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Adam Seth Baker - Financial Advisor in Scottsdale, AZ | AdvisorFinder