Giles C. 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.
Giles Corey Baker was a registered financial professional .
Giles is a previously registered financial professional and started their career in finance in 1984. Giles had worked at 10 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
August 24, 2015 - January 5, 2018
NATIONWIDE INVESTMENT SERVICES CORPORATION
October 15, 2013 - February 19, 2015
COREBRIDGE CAPITAL SERVICES, INC.
June 18, 2009 - January 2, 2013
JOHN HANCOCK DISTRIBUTORS LLC
March 28, 2000 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
November 16, 1999 - January 4, 2013
MANULIFE INVESTMENT MANAGEMENT (US) LLC
December 23, 1992 - January 3, 2013
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
December 21, 1992 - May 9, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 21, 1992 - May 9, 1995
SIGNATOR INVESTORS, INC.
October 14, 1988 - August 28, 1992
WACHOVIA SECURITIES, INC.
August 21, 1984 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., 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
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| AMBROZY, TINA S | PRESIDENT/BOARD DIRECTOR | 3149224 |
| HAWLEY, CRAIG ALAN | BOARD DIRECTOR | 4499105 |
| RABENSTINE, JAMES JAY | CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD DIRECTOR | 5250338 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
