Charles R. Baker
Professional summary
Charles Ronald Baker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, Charles had worked at 6 firms, which includes RICHFIELD ORION INTERNATIONAL INC., WFG INVESTMENTS INC., MORGAN STANLEY DW INC., E. F. HUTTON & COMPANY INC, DUPONT WALSTON INCORPORATED, DUPONT GLORE FORGAN INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2013 - June 15, 2022
RICHFIELD ORION INTERNATIONAL, INC.
September 26, 1991 - May 14, 2013
WFG INVESTMENTS, INC.
March 31, 1982 - July 9, 1991
MORGAN STANLEY DW INC.
March 6, 1974 - April 13, 1982
E. F. HUTTON & COMPANY INC
July 2, 1973 - March 22, 1974
DUPONT WALSTON, INCORPORATED
April 19, 1973 - July 2, 1973
DUPONT GLORE FORGAN 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 1
Date: 4/12/1973
Registered Representative ExaminationSeries 8
Date: 5/3/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RICHFIELD ORION INTERNATIONAL, INC.
CRD#: 24433 / SEC#: , 8-41166
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICHFIELD ORION INTERNATIONAL, LLC | PARENT COMPANY | |
| STUART, JAMES BRETT | CEO,CFO,DIRECTOR, CCO | 3022149 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
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