Jerry 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.
Jerry Wayne Baker was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1998. Jerry had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2005 - January 26, 2012
THE O.N. EQUITY SALES COMPANY
May 8, 2002 - December 31, 2004
THE LEADERS GROUP, INC.
July 10, 2000 - January 29, 2002
AMERITAS INVESTMENT COMPANY, LLC
July 8, 1999 - April 19, 2000
NEW ENGLAND SECURITIES
October 23, 1998 - July 13, 1999
THE ADVISORS GROUP, 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
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
