Michael J. 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.
Michael Jay Baker, who also goes by Michael J Baker, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 1993 - February 10, 1995
DABNEY/RESNICK/IMPERIAL, LLC
May 10, 1989 - September 20, 1993
UBS FINANCIAL SERVICES INC.
September 7, 1984 - June 5, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
August 23, 1983 - September 4, 1984
BECKER PARIBAS 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
Current Firm
DABNEY/RESNICK/IMPERIAL, LLC
CRD#: 24367 / SEC#: , 8-41141
Contact information
Documents
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.
