Bradley W. 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.
Bradley Willard Baker was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1981. Bradley had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2002 - January 2, 2024
CRAIG-HALLUM CAPITAL GROUP LLC
February 25, 1998 - May 23, 2002
THINKEQUITY LLC
October 7, 1997 - April 2, 1998
MJK CLEARING, INC.
February 22, 1993 - October 8, 1997
COLLIERS SECURITIES LLC
November 11, 1988 - February 22, 1993
CRAIG-HALLUM, INC.
February 1, 1988 - December 6, 1988
OBERWEIS SECURITIES, INC.
January 15, 1986 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
May 16, 1983 - February 4, 1986
E. F. HUTTON & COMPANY INC
December 10, 1981 - May 13, 1983
THOMSON MCKINNON SECURITIES INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CRAIG-HALLUM CAPITAL GROUP LLC
CRD#: 121395 / SEC#: , 8-65407
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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