Phillip 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.
Phillip Martin Baker was a registered financial advisor .
Phillip is a previously registered financial advisor and started their career in finance in 1983. Phillip had worked at 16 firms and has passed the Series 65, Series 63, Series 7, Series 3, Series 4, Series 27 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
February 14, 2008 - December 31, 2010
BLUE ROSE WEALTH MANAGEMENT LLC
June 22, 2000 - March 15, 2002
ALLEN DOUGLAS SECURITIES, INC.
May 8, 2000 - June 5, 2000
PEREGRINE FINANCIALS & SECURITIES, INC.
December 16, 1999 - June 28, 2000
LEGEND MERCHANT GROUP, INC.
November 14, 1996 - January 22, 1997
KLEIN, MAUS & SHIRE INC.
October 5, 1995 - December 4, 1996
M.S. FARRELL & COMPANY, INC.
July 6, 1995 - October 6, 1995
CHOICE INVESTMENTS, INC.
November 30, 1994 - August 16, 1995
FIRST MERCHANT SECURITIES CORPORATION
June 7, 1993 - February 6, 1995
NEWPORT COAST SECURITIES, INC.
April 8, 1993 - June 1, 1993
GREAT PACIFIC SECURITIES
January 7, 1991 - June 10, 1993
THE TRADING DESK, INC.
March 20, 1987 - January 22, 1991
LIBERTY CAPITAL MARKETS, INC.
September 6, 1985 - March 19, 1986
WEDBUSH SECURITIES INC.
March 15, 1985 - July 9, 1985
VINING-SPARKS SECURITIES, INC.
November 17, 1983 - March 5, 1985
SWINK & COMPANY, INC.
June 22, 1983 - November 17, 1983
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
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
No current employment
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.
