Nancy 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.
Nancy Jane Baker, who also goes by Nancy Jane Rodriguez Baker, Nancy Jane Rodriguez, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1982. Nancy had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2010 - October 18, 2016
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
October 26, 1987 - July 25, 2008
CHARLES SCHWAB & CO., INC.
May 17, 1986 - April 9, 1987
FIDELITY BROKERAGE SERVICES LLC
November 29, 1984 - May 22, 1985
THOMSON MCKINNON SECURITIES INC.
May 20, 1982 - December 24, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 10/8/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
CRD#: 46902 / SEC#: , 8-51582
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SILICON VALLEY BANK | PARENT | |
| CASEY, BRENDAN WALL | DIRECTOR | 2794197 |
| CHEONG, AMY LAI MUI | CHIEF FINANCIAL OFFICER | 4654230 |
| HACKENBURG, KARA NICOLE | CHIEF COMPLIANCE OFFICER | 2675466 |
| HALL, DARCEY NOEL | ANTI-MONEY LAUNDERING OFFICER | 2599719 |
| HUSAIN, KAMRAN FOUAD | DIRECTOR | 5947865 |
| MATTERA, RICHARD JOSEPH | FINANCIAL AND OPERATIONS PRINCIPAL | 2246513 |
| MOSS, LAURI LYNN | PRESIDENT, CEO, AND DIRECTOR | 1377807 |
| PIRACHA, AMENA | SECRETARY | |
| SABOW, DAVID MICHAEL | DIRECTOR | 5138501 |
| SCHNITZ, JEFFREY NAYLOR | DIRECTOR | 2659365 |
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.
