Harold B. 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.
Harold Bernie Baker was a registered financial advisor .
Harold is a previously registered financial advisor and started their career in finance in 1983. Harold had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 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
June 22, 2009 - May 20, 2016
SORRENTO PACIFIC FINANCIAL, LLC
December 10, 2008 - May 20, 2016
SORRENTO PACIFIC FINANCIAL, LLC
August 8, 2006 - December 12, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
August 8, 2006 - December 12, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
December 8, 2005 - August 21, 2006
BMO HARRIS FINANCIAL ADVISORS, INC.
December 8, 2005 - August 21, 2006
BMO HARRIS FINANCIAL ADVISORS, INC.
May 1, 2002 - December 31, 2005
HARRISDIRECT LLC
December 4, 2001 - December 31, 2005
HARRISDIRECT LLC
March 8, 2001 - May 23, 2002
AMERITAS INVESTMENT COMPANY, LLC
December 9, 2000 - May 1, 2002
HARRIS INVESTORLINE INC.
December 7, 2000 - December 9, 2000
HARRIS INVESTORLINE
May 10, 1993 - November 6, 2000
BANC ONE SECURITIES CORPORATION
December 15, 1988 - May 5, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 15, 1988 - May 5, 1993
PRUCO SECURITIES, LLC.
April 29, 1985 - December 6, 1988
AMI SECURITIES, INC.
March 12, 1985 - May 6, 1985
KEENAN & CLAREY, INC.
October 4, 1983 - June 6, 1985
COMMONWEALTH CHURCH FINANCE, 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
Current Firm
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 |
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.
