Joseph A. 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.
Joseph Aloysius Baker was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1969. Joseph had worked at 9 firms and has passed the Series 63, Series 41, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 1997 - September 29, 2006
PORTSMOUTH FINANCIAL SERVICES
January 29, 1992 - March 10, 1997
TRANSGLOBAL INVESTMENTS INC.
June 12, 1989 - December 19, 1991
EMMETT A LARKIN COMPANY, INC.
January 13, 1986 - January 24, 1989
ACUMENT SECURITIES, INC.
July 11, 1983 - October 28, 1985
HAMBRECHT & QUIST LLC
February 7, 1980 - May 6, 1983
MONTGOMERY SECURITIES
May 16, 1978 - February 9, 1979
REGIS MANAGEMENT CORPORATION
April 19, 1973 - February 11, 1979
ROBERT W. BAIRD & CO. INCORPORATED
November 7, 1969 - May 10, 1973
BLYTH EASTMAN DILLON & CO. 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 41
Date: 11/3/1969
NYSE Allied Member ExaminationSeries 40
Date: 11/3/1969
Registered Principal ExaminationCurrent Firm
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
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.
