Bonnie J. Baker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bonnie J Baker was a registered financial professional .
Bonnie is a previously registered financial professional and started their career in finance in 1982. Bonnie had worked at 9 firms and has passed the Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2000 - March 30, 2001
PACIFIC WEST SECURITIES, INC.
June 26, 1996 - October 16, 1997
PACIFIC WEST SECURITIES, INC.
May 2, 1991 - January 5, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 2, 1990 - May 7, 1991
PACIFIC WEST SECURITIES, INC.
August 22, 1990 - August 31, 1990
ROBERT W. BAIRD & CO. INCORPORATED
August 22, 1990 - September 28, 1990
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 5, 1989 - May 14, 1990
CETERA WEALTH SERVICES, LLC
January 15, 1987 - July 19, 1988
DAIN RAUSCHER INCORPORATED
July 2, 1986 - January 28, 1987
CITIGROUP GLOBAL MARKETS INC.
January 10, 1985 - July 15, 1986
PIPER SANDLER & CO.
November 24, 1982 - December 26, 1984
LIBERTY INVESTMENT COUNSEL, LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PACIFIC WEST SECURITIES, INC.
CRD#: 6390 / SEC#: , 8-17377
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC WEST FINANCIAL GROUP HOLDING CO. L.L.C. | 100% SHAREHOLDER/HOLDING CO. | |
| FORD, SHANON LANE | DIRECTOR, PRESIDENT | 4151684 |
| FORD, SHANON LANE | SECRETARY/TREASURER | 4151684 |
| MCCLOSKEY, MARK THOMAS | CHIEF COMPLIANCE OFFICER | 325596 |
| PIZELO, PHILIP ANTHONY | DIRECTOR, CEO | 2429418 |
| SIMS, JEFFREY SCOTT | FINANCIAL AND OPERATIONS PRINCIPAL | 3247374 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 7 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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