Jane M. 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.
Jane Marie Baker, who also goes by Jane Marie Banks Baker, Jane Marie Banks, was a registered financial professional .
Jane is a previously registered financial professional and started their career in finance in 1982. Jane had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2015 - December 6, 2021
RISK OVERLAY ASSOCIATES LLC
September 12, 2008 - November 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 8, 2008 - November 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 22, 2006 - April 5, 2007
TD WEALTH MANAGEMENT SERVICES INC.
February 22, 2006 - April 5, 2007
TD WEALTH MANAGEMENT SERVICES INC.
October 20, 2004 - February 23, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - February 23, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 1, 2004 - October 20, 2004
QUICK & REILLY, INC.
December 13, 2002 - October 20, 2004
QUICK & REILLY, INC.
October 5, 1987 - December 17, 2002
CHARLES SCHWAB & CO., INC.
August 15, 1986 - June 3, 1988
1717 CAPITAL MANAGEMENT COMPANY
April 2, 1984 - April 8, 1985
CHARLES SCHWAB & CO., INC.
December 21, 1982 - May 6, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 8
Date: 10/14/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RISK OVERLAY ASSOCIATES LLC
CRD#: 174727 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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