Raymond C. 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.
Raymond Clayton Baker JR, who also goes by Ray Baker, Raymond Clayton Baker, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1965. Raymond had worked at 14 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 000, Series 1, Series 12 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
April 30, 2014 - October 28, 2014
THE LEADERS GROUP, INC.
February 18, 2014 - April 29, 2014
KEY WEST INVESTMENTS, LLC
September 21, 2011 - October 29, 2014
STONEMARK WEALTH MANAGEMENT
May 18, 2011 - January 28, 2014
GIRARD SECURITIES, INC.
June 2, 2010 - May 2, 2011
SENTINEL SECURITIES, LLC.
September 23, 2009 - January 11, 2012
WESPAC ADVISORS, LLC
December 9, 2008 - July 7, 2009
HILLTOP SECURITIES INC.
December 9, 2008 - July 7, 2009
HILLTOP SECURITIES INC.
February 7, 2003 - December 23, 2008
M.L. STERN & CO., LLC.
May 22, 1997 - December 23, 2008
M.L. STERN & CO., LLC.
August 12, 1996 - October 31, 1996
C. M. BLAIR, W. O. FOSTER & CO., INC.
June 21, 1994 - August 10, 1994
TALLEY & COMPANY
August 21, 1991 - May 27, 1994
YAEGER SECURITIES, INC.
October 7, 1988 - November 7, 1989
SUTRO & CO. INCORPORATED
January 23, 1984 - October 19, 1988
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
June 21, 1965 - November 28, 1983
BATEMAN EICHLER, HILL RICHARDS, 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 55
Date: 1/28/2000
Limited Representative-Equity Trader ExamSeries 000
Date: 6/21/1965
General Securities Principal ExaminationSeries 1
Date: 6/21/1965
Registered Representative ExaminationSeries 12
Date: 6/3/1977
NYSE Branch Manager ExaminationSeries 40
Date: 5/9/1977
Registered Principal ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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