John R. Baker

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CRD#: 10791

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.

John Russell Baker SR, who also goes by John Russell Baker, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1971. John had worked at 12 firms and has passed the Series 63, SIE, PC, Series 1, Series 10, Series 9 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Russell Baker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 21, 2014 - January 5, 2016

M. E. ALLISON & CO., INC.

CRD#: 1047

SAN ANTONIO, TX

Past

January 27, 2005 - April 23, 2014

HILLTOP SECURITIES INC.

CRD#: 6220

SAN ANTONIO, TX

Past

May 27, 1997 - January 27, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 19, 1992 - May 8, 1997

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

April 13, 1989 - November 9, 1992

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 19, 1984 - May 3, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 6, 1980 - July 27, 1984

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

May 27, 1976 - February 5, 1981

FRED BAKER & ASSOCIATES, INC.

CRD#: 7133

Past

August 6, 1975 - June 13, 1976

RUSS SECURITIES CORPORATION

CRD#: 6893

Past

December 19, 1972 - July 11, 1973

RUSS & COMPANY INC

CRD#: 1000003

Past

April 6, 1971 - February 2, 1973

DOMIK CORP.

CRD#: 223

Past

January 1, 1971 - May 10, 1971

DITTMAR & COMPANY, INC.

CRD#: 220

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

M. E. ALLISON & CO., INC.

CRD#: 1047 / SEC#: 801-129805, 8-1402

RIA

Registered Investment Advisory firm - SEC (3/29/2024 Approved)

Texas

Registered Investment Advisory firm - SEC (7/8/2024 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/5/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/5/2016

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 6/9/1988

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 12/17/1970

Registered Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/11/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/16/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 40

Date: 6/3/1977

Registered Principal Examination

Current Firm

M. E. ALLISON & CO., INC.

CRD#: 1047 / SEC#: 801-129805, 8-1402

RIA

Registered Investment Advisory firm - SEC (3/29/2024 Approved)

Texas

Registered Investment Advisory firm - SEC (7/8/2024 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

950 East Basse Road Second Floor, San Antonio, TX 78209

Mailing Address

950 East Basse Road Second Floor, San Antonio, TX 78209-1831

Phone number

(210) 930-4000

Established

Texas since 03/09/1946

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MEA FORM ADV PART 2A (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
ALLISON, CHARLES BENNETT	DIRECTOR	4615330
ALLISON, CHRISTOPHER RUMSEY	CEO/CCO	2278380
MURPHY, LINDE ALLEN	PRESIDENT/CCO	4049529

Regulatory assets under management

Total Number of Accounts	405
AUM (Assets Under Management)	$ 287,435,346

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

John R. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HILLTOP SECURITIES INC.

WELLS FARGO CLEARING SERVICES, LLC

RAUSCHER PIERCE REFSNES, INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

KIDDER, PEABODY & CO. INCORPORATED

FRED BAKER & ASSOCIATES, INC.

RUSS SECURITIES CORPORATION

RUSS & COMPANY INC

DOMIK CORP.

DITTMAR & COMPANY, INC.

Primary Firm SEC Registration

M. E. ALLISON & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/5/1987

SIE

Date: 1/5/2016

PC

Date: 6/9/1988

Series 1

Date: 12/17/1970

Series 10

Date: 5/11/2000

Series 9

Date: 3/16/2000

Series 40

Date: 6/3/1977

Current Firm

M. E. ALLISON & CO., INC.

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (16 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

M. E. ALLISON & CO., INC.

TRUST BUT VERIFY

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