Michael 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.
Michael Alan Baker, who also goes by Mike Baker, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 9 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2005 - October 31, 2022
CREATIVE FINANCIAL DESIGNS, INC.
September 2, 2004 - December 31, 2013
CFD INVESTMENTS, INC.
February 19, 2002 - October 17, 2003
SII INVESTMENTS, INC.
June 27, 2001 - February 28, 2002
VALMARK SECURITIES, INC.
December 14, 2000 - June 28, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - June 28, 2001
WELLS FARGO INVESTMENTS, LLC
August 29, 1996 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 7, 1996 - August 29, 1996
WELLS FARGO BROKERAGE SERVICES, L.L.C.
September 28, 1995 - August 19, 1996
MARINER FINANCIAL SERVICES, INC.
April 5, 1993 - September 1, 1995
FFP SECURITIES, INC.
August 29, 1985 - October 28, 1986
FORTH FINANCIAL SECURITIES, CORPORATION
Primary Firm SEC Registration
CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
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
CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,029 |
| AUM (Assets Under Management) | $ 2,478,773,967 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 01/05/2024 | ||
| 01/10/2023 |
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.
