Judy R. 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.
Judy Rae Baker, who also goes by Judy Rae Gerlach, Judy Gerlach, was a registered financial professional .
Judy is a previously registered financial professional and started their career in finance in 1986. Judy had worked at 9 firms and has passed the 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
April 11, 2007 - December 20, 2012
TRUSTMONT FINANCIAL GROUP, INC.
October 6, 1999 - April 16, 2007
HORNOR, TOWNSEND & KENT, LLC
January 2, 1998 - October 5, 1999
CADARET, GRANT & CO., INC.
January 4, 1997 - January 2, 1998
PINEBRIDGE SECURITIES LLC
April 25, 1996 - January 1, 1997
THE O.N. EQUITY SALES COMPANY
June 22, 1994 - April 29, 1996
LPL FINANCIAL LLC
March 16, 1993 - July 6, 1994
THE O.N. EQUITY SALES COMPANY
April 15, 1991 - March 11, 1993
TOWER SQUARE SECURITIES, INC.
October 30, 1990 - April 9, 1991
INVESTORS BROKERAGE SERVICES, INC.
April 15, 1986 - June 24, 1989
PRUCO SECURITIES, LLC.
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
TRUSTMONT FINANCIAL GROUP, INC.
CRD#: 18312 / SEC#: , 8-36439
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOCHINEZ, LACEY M | OWNER | 5809867 |
| DOCHINEZ, PETER DANIEL | OWNER | 6314091 |
| ABBOTT DECAROLIS, LAURA JEAN | OWNER/REGISTERED REPRESENTATIVE | 1523919 |
| DOCHINEZ, CLAUDIA ANN | OWNER | |
| DOCHINEZ, PETER DANIEL | OWNER | 1062112 |
| GIONTA, PAUL V | OWNER | |
| HEBERT, GEORGE PHILLIP | OWNER | 2309032 |
| HLADEK, ANTHONY CHARLES | PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATION OFFICER | 2700432 |
| PETRUCCI, MARY LOUISE | OWNER/REGISTERED REPRESENTATIVE | 2980671 |
| AULT, JAMES DANIEL | OWNER | 1439447 |
| BARZAK, DONALD JOHN | OWNER | 1856590 |
| HIXENBAUGH, MARY LYNNE | CHIEF COMPLIANCE OFFICER | 5623080 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
