Ada E. 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.
Ada Elizabeth Baker, who also goes by Ada Baker, Ada Elizabeth Cbaker, Ada E Chan, Ada Elizabeth Chan, was a registered financial professional .
Ada is a previously registered financial professional and started their career in finance in 1984. Ada had worked at 9 firms and has passed the Series 65, Series 63, 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
January 27, 2021 - December 31, 2022
CENTAURUS FINANCIAL, INC.
January 27, 2021 - December 31, 2022
CENTAURUS FINANCIAL, INC.
March 6, 2020 - November 3, 2020
FSC SECURITIES CORPORATION
January 11, 2005 - April 4, 2018
DWS DISTRIBUTORS, INC.
January 23, 1995 - January 3, 2005
MFS FUND DISTRIBUTORS, INC.
May 3, 1993 - December 2, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
September 17, 1991 - April 22, 1993
GLOBAL ATLANTIC DISTRIBUTORS, LLC
April 25, 1988 - September 3, 1991
CAPITAL BROKERAGE CORPORATION
April 23, 1987 - April 30, 1988
METLIFE INVESTORS DISTRIBUTION COMPANY
November 21, 1984 - March 2, 1987
TITAN/VALUE EQUITIES GROUP, INC.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
