Barry A. 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.
Barry Alan Baker was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1990. Barry had worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 28, 2018 - December 15, 2025
INDEPENDENT INVESTMENT BANKERS, CORP.
July 6, 1992 - January 15, 1997
PRIME CHARTER LTD.
January 22, 1992 - July 13, 1992
SBC WARBURG DILLON READ INC.
January 25, 1990 - March 13, 1991
SBC WARBURG DILLON READ 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
Series 79TO
Date: 12/27/2018
Investment Banking Registered Representative ExaminationCurrent Firm
INDEPENDENT INVESTMENT BANKERS, CORP.
CRD#: 154134 / SEC#: , 8-68609
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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