Reid F. 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.
Reid F. Baker, who also goes by Reid Frederick Baker, was a registered financial professional .
Reid is a previously registered financial professional and started their career in finance in 1972. Reid had worked at 5 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2011 - December 31, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
November 22, 2007 - September 23, 2009
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 6, 2004 - May 15, 2006
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 11, 1998 - December 6, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
January 21, 1992 - February 27, 1997
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 31, 1989 - December 31, 1991
CIGNA CAPITAL BROKERAGE, INC.
June 2, 1972 - July 24, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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: 5/25/1972
Registered Representative ExaminationCurrent Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
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.
