David Baker has been an investment adviser representative at 93 Financial Group since April 2018, and is not listed among the firm’s executive officers or direct owners.
93 Financial Group, LLC is a Woburn, MA firm with $900M under management, 1,175 clients and 5 advisers in one office, as of its March 2026 filing.
David Baker’s longest registration is the current one, 8 years at 93 Financial Group since 2018. Before joining 93 Financial Group in 2018, David Baker was registered through Raymond James Financial Services Advisors, Inc and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- 93 Financial Group, LLCCurrent– present · 8 yearsWoburn, MA · Adviser representative · Firm CRD 144235
- Raymond James Financial Services Advisors, Inc– · 1 yearChelmsford, MA · Adviser representative · Firm CRD 149018
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 1 yearLincoln, RI · Adviser representative · Firm CRD 7691
- Voya Financial Advisors, Inc.– · 1 yearBraintree, MA · Adviser representative · Firm CRD 2882
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 1 yearNeedham, MA · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
David Baker is registered as an investment adviser representative in Massachusetts, since April 2018.
- MassachusettsSince 13 April 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 15 March 2011 |
| Series 24 | General Securities Principal Examination | 16 March 2005 |
| Series 7 | General Securities Representative Examination | 3 December 2002 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 7 April 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 March 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- David Robert Baker
- CRD
- 4119803
- Firm
- 93 Financial Group · CRD 144235
- Office
- 600 UNICORN PARK DRIVE, Woburn, MA 01801
- Registration
- Investment adviser registration
- In the industry since
- April 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does David Baker work?
David Baker is an investment adviser representative registered through 93 Financial Group, LLC since April 2018, and is not listed among the firm’s executive officers or direct owners.
Is David Baker a financial advisor?
Yes. David Baker has a current investment-adviser registration in Massachusetts, through 93 Financial Group since April 2018.
How many years of experience does David Baker have?
David Baker has 23 years in the financial industry, since April 2003, across 4 adviser firms.
What exams has David Baker passed?
David Baker has passed 5 licensing exams: the Series 63, Series 6, Series 7, Series 24 and Series 65. The earliest, the Series 63, was passed in March 2000. FINRA credited David Baker with the SIE, which began in October 2018.
Where did David Baker work before 93 Financial Group?
Before 93 Financial Group, David Baker was registered through Raymond James Financial Services Advisors, Inc, August 2016 to March 2018; Merrill Lynch, Pierce, Fenner & Smith Incorporated, December 2014 to August 2016; Voya Financial Advisors, Inc., June 2013 to October 2014; Merrill Lynch, Pierce, Fenner & Smith Incorporated, August 2011 to August 2012.
Where is David Baker based?
David Baker’s registered office is in Woburn, MA.
Is David Baker registered with FINRA?
No. David Baker has no current broker registration.
How can I verify David Baker’s record?
Search CRD 4119803 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Baker’s full registration record.