James 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.
James Johnston Baker JR, who also goes by James Johnston Baker, Jay Baker Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2016 - December 31, 2023
T.S. PHILLIPS INVESTMENTS, INC.
June 19, 2013 - June 5, 2014
FORESIDE FUND SERVICES, LLC
April 8, 2009 - September 15, 2011
GOLDMAN SACHS & CO. LLC
October 20, 2003 - January 7, 2008
SLK INDEX SPECIALISTS, LLC
October 18, 1999 - March 19, 2009
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
January 27, 1998 - October 11, 1999
ALPS DISTRIBUTORS, INC.
January 6, 1993 - December 3, 1997
PDR DISTRIBUTORS, INC.
April 22, 1982 - October 17, 1985
MORGAN STANLEY DW 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 5
Date: 10/16/1982
Interest Rate Options ExaminationCurrent Firm
T.S. PHILLIPS INVESTMENTS, INC.
CRD#: 124348 / SEC#: , 8-65661
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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