SB
Stephen W. Baker
FOLGER NOLAN FLEMING DOUGLAS
Washington, DC 20005-2109
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CRD#: 1297507
SB
Professional summary
Stephen Woodhull Baker is a registered financial advisor currently at FOLGER NOLAN FLEMING DOUGLAS INCORPORATED located in Washington, District Of Columbia.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Stephen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Woodhull Baker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Woodhull 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®
NoneExperience
Current
April 30, 2007 - Present
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
Office #1: 725 15th Street Nw, Washington, DC 20005-2109Office #2: 725 15th St Nw, Washington, DC 20005RIA
BD
CRD#: 319
Washington, DC
Current
September 13, 2005 - Present
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
Office #1: 725 15th Street N.w. 2nd Floor, Suite 200, Washington, DC 20005-2109RIA
BD
CRD#: 319
Washington, DC
Past
September 13, 2005 - May 4, 2006
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
RIA
CRD#: 319
WASHINGTON, DC
Past
December 6, 1999 - August 29, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
VIENNA, VA
Past
October 8, 1999 - August 29, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 5, 1999 - September 20, 1999
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
October 15, 1993 - March 1, 1999
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
June 2, 1989 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
CRD#: 319 / SEC#: 801-67696, 8-3335
RIA
Registered Investment Advisory firm - SEC (4/24/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/27/2015)
RR
California(3/6/2012)
RR
Colorado(6/2/2014)
RR
Connecticut(8/6/2013)
RR
Delaware(7/24/2017)
RR
District of Columbia(9/13/2005)
IAR
District of Columbia(4/30/2007)
RR
Florida(9/13/2005)
RR
Idaho(8/9/2013)
RR
Maryland(9/13/2005)
RR
Michigan(12/22/2016)
RR
Nevada(8/2/2013)
RR
New Hampshire(2/2/2009)
RR
New Jersey(9/13/2005)
RR
New York(4/13/2006)
RR
North Carolina(9/13/2005)
RR
Oklahoma(8/10/2012)
RR
Pennsylvania(12/6/2005)
RR
Texas(12/12/2013)
RR
Vermont(12/17/2014)
RR
Virginia(9/13/2005)
RR
Washington(1/18/2019)
RR
West Virginia(7/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
CRD#: 319 / SEC#: 801-67696, 8-3335
RIA
Registered Investment Advisory firm - SEC (4/24/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
725 15th Street N.w. 2nd Floor, Suite 200, Washington, DC 20005-2109
Mailing Address
725 15th Street N.w., Washington, DC 20005-2109
Phone number
(202) 783-5252
Established
Delaware since 11/27/1931
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
50
SEC notice filing (7 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLGER ASSOCIATES LLC | OWNER | |
| FOLGER 2020 TRUST FOR NEIL C. FOLGER | OWNER | |
| FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER | OWNER | |
| CURRENT, JOHN RANDALL | DIRECTOR, EXECUTIVE VICE-PRESIDENT | 2020187 |
| FOLGER, LEE MERRITT | DIRECTOR, SENIOR ADVISOR | 210685 |
| FOLGER, NEIL CLIFFORD | DIRECTOR, CHAIRMAN OF THE BOARD | 2813165 |
| FOLGER, NEIL CLIFFORD | TRUSTEE, FOLGER 2020 TRUST FOR NEIL C. FOLGER, FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER, JOHN D. FOLGER SECTION 9 TRUST | 2813165 |
| FOSTER, RICHARD STEVEN | CHIEF FINANCIAL OFFICER / CHIEF OPERATING OFFICER / CHIEF EXECUTIVE OFFICER / PRESIDENT, ROSFP | 1655391 |
| FOSTER, RICHARD STEVEN | CCO | 1655391 |
| FOSTER, RICHARD STEVEN | COO | 1655391 |
Regulatory assets under management
| Total Number of Accounts | 471 |
| AUM (Assets Under Management) | $ 857,718,871 |
Disclosures
| Regulatory Event | 2 |
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.
Company Information
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
CRD#: 319Washington, DC 20005-2109TRUST BUT VERIFY
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Contact information
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