Steven 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.
Steven Arthur Baker was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 13 firms and has passed the Series 63 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 4, 2010 - June 4, 2013
ALLIED BEACON PARTNERS, INC.
August 5, 2005 - December 23, 2009
COMMUNITY BANKERS SECURITIES, LLC
February 6, 2003 - September 12, 2005
WESTMINSTER FINANCIAL SECURITIES, INC.
November 13, 2001 - November 4, 2002
WILLIAM R. HOUGH & CO.
November 13, 2001 - November 4, 2002
WILLIAM R. HOUGH & CO.
October 16, 2001 - November 14, 2001
UVEST FINANCIAL SERVICES GROUP, INC.
April 7, 1999 - October 2, 2001
RYAN BECK & CO.
June 10, 1998 - April 5, 1999
UVEST FINANCIAL SERVICES GROUP, INC.
September 17, 1997 - April 16, 1998
FISERV INVESTOR SERVICES, INC.
June 4, 1997 - September 17, 1997
LINK INVESTMENT SERVICES, INC.
September 18, 1996 - June 5, 1997
NATIONSSECURITIES
March 11, 1989 - September 20, 1996
COMPULIFE INVESTOR SERVICES, INC.
October 11, 1988 - March 1, 1989
MABON, NUGENT & CO.
October 28, 1987 - October 19, 1988
GRAYSTONE NASH, INC.
April 25, 1986 - November 3, 1987
PRUDENTIAL EQUITY GROUP, 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
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
