Jay H. 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.
Jay Howard Baker was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1985. Jay had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2013 - November 15, 2016
CAPITAL ONE INVESTING, LLC
July 24, 2002 - February 18, 2011
HORNOR, TOWNSEND & KENT, LLC
June 21, 1999 - July 23, 2002
1717 CAPITAL MANAGEMENT COMPANY
July 17, 1997 - June 10, 1999
PRUCO SECURITIES, LLC.
September 9, 1996 - August 19, 1997
NATIONWIDE SECURITIES, LLC
July 23, 1992 - April 22, 1996
ROBERT W. BAIRD & CO. INCORPORATED
July 23, 1992 - April 22, 1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 14, 1991 - May 28, 1992
PRINCIPAL SECURITIES, INC.
May 24, 1989 - November 16, 1989
INVESTORS BROKERAGE SERVICES, INC.
May 18, 1988 - May 31, 1989
ILG SECURITIES CORPORATION
December 17, 1985 - October 5, 1988
TOWER SQUARE SECURITIES, 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
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
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.
