Joshalyn Baca has been Chief Compliance Officer of Tigeroak Management since March 2024, is a control person of the firm and directly owns under 5% of it.
Tigeroak Management, LLC is a Nashville, TN firm with $481M under management, 285 clients and 4 advisers across 5 offices, as of its February 2026 filing.
Joshalyn Baca’s longest registration was 9 years at UBS Financial Services Inc. (2008–2017). Before joining Tigeroak Management in 2024, Joshalyn Baca was registered through Cambridge Investment Research Advisors, Inc. and UBS Financial Services Inc.
- HS Wealth PartnersCurrent– present · 2 yearsHermitage, TN · Adviser representative · Firm CRD 330640
- Cambridge Investment Research Advisors, Inc.– · 6 yearsAlbuquerque, NM · Adviser representative · Firm CRD 134139
- UBS Financial Services Inc.– · 9 yearsAlbuquerque, NM · Adviser representative · Firm CRD 8174
- Morgan Stanley & Co. Incorporated– · 1 yearAlbuquerque, NM · Adviser representative · Firm CRD 8209
- Morgan Stanley– · 4 yearsAlbuquerque, NM · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Joshalyn Baca is registered as an investment adviser representative in 2 states. The first approvals date from May 2024; the most recent is Tennessee, in February 2025.
- New MexicoSince 9 May 2024
- TennesseeSince 3 February 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 8 September 2009 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 13 August 2005 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 7 May 2005 |
| Series 66 | Uniform Combined State Law Examination | 17 May 2002 |
| Series 31 | Futures Managed Funds Examination | 26 April 2002 |
| Series 7 | General Securities Representative Examination | 1 April 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- Futures Managed Funds Examination
- Name
- General Securities Representative Examination
- Full name
- Joshalyn Rae Baca
- CRD
- 4043144
- Firm
- Tigeroak Management · CRD 330640
- Role
- Chief Compliance Officer
- Office
- Hermitage, TN
- Registration
- Investment adviser registration
- In the industry since
- April 2002
- Disciplinary history
- Not yet shown here · SEC record
Where does Joshalyn Baca work?
Joshalyn Baca has been Chief Compliance Officer of Tigeroak Management, LLC since March 2024, and is a control person of the firm.
Is Joshalyn Baca a financial advisor?
Yes. Joshalyn Baca has a current investment-adviser registration in New Mexico and Tennessee, through Tigeroak Management since May 2024.
How many years of experience does Joshalyn Baca have?
Joshalyn Baca has 24 years in the financial industry, since April 2002, across 5 adviser firms.
What exams has Joshalyn Baca passed?
Joshalyn Baca has passed 6 licensing exams: the Series 7, Series 31, Series 66, Series 9, Series 10 and Series 3. The earliest, the Series 7, was passed in April 2002. FINRA credited Joshalyn Baca with the SIE, which began in October 2018.
Where did Joshalyn Baca work before Tigeroak Management?
Before Tigeroak Management, Joshalyn Baca was registered through UBS Financial Services Inc., November 2008 to December 2017; Morgan Stanley & Co. Incorporated, April 2007 to November 2008; Morgan Stanley, June 2002 to April 2007.
Where is Joshalyn Baca based?
Joshalyn Baca’s registered office is in Hermitage, TN.
Is Joshalyn Baca registered with FINRA?
No. Joshalyn Baca has no current broker registration.
How can I verify Joshalyn Baca’s record?
Search CRD 4043144 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joshalyn Baca’s full registration record.
