Unclaimed Profile

James Francis Baka

TRANSCEND CAPITAL ADVISORS, LLC·MADISON, New Jersey

SIE, Series 7, Series 8, Series 9, Series 10, Series 24, Series 63, Series 6527 years registeredTRANSCEND CAPITAL ADVISORS, LLC

175 PARK AVENUE, MADISON, NJ 07940CRD# 2068491Firm CRD# 299723

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Francis Baka · MADISON, NJ

Registration

CRD #2068491 · TRANSCEND CAPITAL ADVISORS, LLC · 27 years registered

Brand Profile

Not yet started

Career History

U.S. BANCORP ADVISORS, LLC

Feb 2026 – present

U.S. BANCORP INVESTMENTS, INC.

Aug 2023 – Feb 2026

Naperville, IL

TRANSCEND CAPITAL ADVISORS, LLC

Sep 2022 – Feb 2023

Naperville, IL

CALAMOS WEALTH MANAGEMENT LLC

Oct 2007 – Mar 2022

NAPERVILLE, IL

CALAMOS ADVISORS LLC

Apr 2003 – Oct 2007

NAPERVILLE, IL

STRATEGIC ADVISERS, INC.

Feb 1999 – Apr 2003

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 8

Series 9

Series 10

Series 24

Series 63

Series 65

Registration record

First registered · February 1, 1999

Years registered · 27

Disclosure History

2010Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

TRANSCEND CAPITAL ADVISORS, LLC

CRD 299723 · SEC 801-114435

AUM

$2.9B

Regulatory assets under management

Employees

4,468 client accounts

Services offered by TRANSCEND CAPITAL ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at TRANSCEND CAPITAL ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does James Francis Baka offer?

James Francis Baka specializes in Financial Planning, Investment Management. Contact their office in MADISON, New Jersey for a consultation.

What are James Francis Baka's credentials?

James Francis Baka is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Francis Baka located?

James Francis Baka is based in MADISON, New Jersey, working with TRANSCEND CAPITAL ADVISORS, LLC. Their office serves clients in the MADISON metropolitan area and surrounding communities.

How does James Francis Baka charge for services?

James Francis Baka's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is TRANSCEND CAPITAL ADVISORS, LLC?

TRANSCEND CAPITAL ADVISORS, LLC has approximately 39 employees and manages $2.9B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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