Kenneth K. 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.
Kenneth King Baker JR, who also goes by Ken Baker Jr, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1961. Kenneth had worked at 7 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2002 - August 3, 2009
OAKBRIDGE FINANCIAL SERVICES
October 7, 1999 - June 10, 2002
BLUE VASE SECURITIES, LLC
May 19, 1992 - July 29, 1999
SUNAMERICA SECURITIES, INC.
January 30, 1986 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
February 27, 1984 - December 27, 1985
UBS FINANCIAL SERVICES INC.
June 6, 1983 - February 27, 1984
THOMSON MCKINNON SECURITIES INC.
July 1, 1977 - July 27, 1982
THOMSON MCKINNON SECURITIES INC.
August 14, 1961 - June 7, 1977
WADDELL & REED
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 1
Date: 8/14/1961
Registered Representative ExaminationCurrent Firm
OAKBRIDGE FINANCIAL SERVICES
CRD#: 16323 / SEC#: , 8-33729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUANG, JOHN CHUNEN | OWNER | 2659909 |
| STANDLEY, MICHAEL THOMAS | OWNER | |
| WINTER, KATHRYN ANN | OWNER | 4523089 |
| CLAYTON, ALAN CLIFTON | OWNER | 2407426 |
| DAVIS, GRAHAM LEWIS | OWNER | 2430102 |
| HIGGINBOTHAM, SUZANNE G | OWNER | 1443872 |
| LARSON, STEVEN ELLSWORTH | OWNER | 2422755 |
| SIEBER, DEBRA ANN | OWNER | 5636638 |
| WILSON, CHARLENE FAITH | FINOP, CCO | 1935747 |
Disclosures
| Regulatory Event | 7 |
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.
