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JB

Joyce P. Baker

PEAK BROKERAGE SERVICES
Eustis, FL
Some features on this profile are disabled
CRD#: 1010670
JB

Professional summary

Joyce Pearl Baker, who also goes by Joyce Baker Brown, is a registered financial professional currently at PEAK BROKERAGE SERVICES, LLC located in Eustis, Florida.

Joyce is registered as a RR (Registered Representative) and started their career in finance in 1982. Joyce has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joyce Baker Brown

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joyce Pearl Baker's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 15, 2021 - Present

PEAK BROKERAGE SERVICES, LLC

BD
CRD#: 157045
Eustis, FL
Past

May 3, 1983 - December 15, 2021

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
Eustis, FL
Past

September 15, 1982 - March 17, 1983

MONY SECURITIES CORPORATION

BD
CRD#: 4386

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(12/15/2021)
RR
Arizona
(12/15/2021)
RR
District of Columbia
(12/20/2021)
RR
Florida
(1/3/2022)
RR
Georgia
(12/15/2021)
RR
Hawaii
(8/14/2025)
RR
Maryland
(12/15/2021)
RR
Massachusetts
(12/15/2021)
RR
New Jersey
(12/15/2021)
RR
New York
(12/15/2021)
RR
North Carolina
(11/21/2022)
RR
Oregon
(12/15/2021)
RR
Pennsylvania
(12/15/2021)
RR
Rhode Island
(7/25/2023)
RR
Virginia
(12/15/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 6/13/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/14/1982
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PB
PEAK BROKERAGE SERVICES, LLC
BLACKRIDGE ASSET MANAGEMENT, LLC | TOP ADVISORS GROUP | PEAK BROKERAGE SERVICES, LLC

CRD#: 157045 / SEC#: , 8-68829

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1070 East Indiantown Road Suite 208 - 210, Jupiter, FL 33477-9999
Mailing Address
1070 East Indiantown Road Suite 208 - 210, Jupiter, FL 33477-9999
Phone number
(561) 641-5050
Established
Georgia since 02/16/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PEAK REPS, LLCOWNER
COKER, KARENCHIEF RISK OFFICER2731928
MUELLER, CHRISTOPHER BRIANCHIEF OPERATIONS OFFICER2098597
PHILLIPS, DAVID LEVERTCHIEF INFORMATION SECURITY OFFICER2054858
REYNOLDS, MATTHEW MARKPRESIDENT/FINOP4077413
RUDNICK, REGINA MARYPRESIDENT/HEAD OF ADVISOR SERVICES2373530
TAYLOR, CHRISTIAN GABRIELCHIEF COMPLIANCE OFFICER5462381

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045Eustis, FL

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