Steven E. Baker

INVESTORS CAPITAL MANAGEMENT

Darien, CT 06820

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CRD#: 1232693

Professional summary

Steven Eugene Baker is a registered financial advisor currently at INVESTORS CAPITAL MANAGEMENT INC located in Darien, Connecticut.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Steven has worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Name 88 Acorn Street LLC Invesment RelatedNO Address25 Hamilton Lane Darien CT 06820 Nature of BusinessPersonal Real Estate Holding PositionMember Date1/24/2011 Hours/month1 Hours during trading hours0.01 Duties None Name THP Peet Street LLC Invesment RelatedNO Address25 Hamilton Lane Darien CT 06820 Nature of BusinessMulti-Family Property Holding PositionMember Date8/22/2011 Hours/month1 Hours during trading hours0.01 Duties None Name THP Management LLC Invesment RelatedNO Address25 Hamilton Lane Darien CT 06820 Nature of BusinessLLC for real estate related banking PositionMember Date1/4/2017 Hours/month1 Hours during trading hours0.01 Duties None

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Eugene Baker's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 23, 2013 - Present

INVESTORS CAPITAL MANAGEMENT INC

Office #1: 30 Old Kings Highway South - Suite 200, Darien, CT 06820

RIA

CRD#: 110823

Darien, CT

Past

March 23, 2011 - October 10, 2012

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

NEW YORK, NY

Past

June 16, 2009 - May 26, 2010

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

NEW YORK, NY

Past

March 29, 2007 - December 18, 2008

JEFFERIES HIGH YIELD TRADING, LLC

CRD#: 47363

STAMFORD, CT

Past

June 25, 1991 - December 18, 2008

JEFFERIES LLC

CRD#: 2347

STAMFORD, CT

Past

April 18, 1990 - July 2, 1991

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

April 28, 1986 - March 3, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

January 25, 1984 - March 22, 1985

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

CRD#: 595

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(1/23/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/9/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/19/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/15/1995

General Securities Principal Examination

Current Firm

INVESTORS CAPITAL MANAGEMENT INC

CRD#: 110823 / SEC#: 801-40164

RIA

Registered Investment Advisory firm - (6/27/2012 Terminated)

Connecticut

Registered Investment Advisory firm - (6/11/2012 Approved)

New York

Registered Investment Advisory firm - (4/4/2022 Terminated)

Texas

Registered Investment Advisory firm - (11/26/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

30 Old Kings Highway South - Suite 200, Darien, CT 06820

Mailing Address

Phone number

(203) 656-7235

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	120
AUM (Assets Under Management)	$ 67,717,964

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.

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Steven E. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Eugene Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEYBANC CAPITAL MARKETS INC.

CHAPDELAINE TULLETT PREBON, LLC

JEFFERIES HIGH YIELD TRADING, LLC

JEFFERIES LLC

J.P. MORGAN SECURITIES LLC

DREXEL BURNHAM LAMBERT INCORPORATED

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/2013

Series 63

Date: 7/19/1984

Series 7

Date: 1/21/1984

Series 24

Date: 6/15/1995

Current Firm

INVESTORS CAPITAL MANAGEMENT INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INVESTORS CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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