Ernest 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.
Ernest Harold Baker, who also goes by Hal Baker, Harold E Baker, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1986. Ernest had worked at 2 firms and has passed the Series 7 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
October 4, 1993 - April 5, 2002
PENSION FUND EVALUATIONS, INC.
December 2, 1986 - July 12, 1993
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
Primary Firm SEC Registration
PENSION FUND EVALUATIONS, INC.
CRD#: 10985 / SEC#: 801-15614, 8-25520
State Registrations and Notice Filings
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Exams
Current Firm
PENSION FUND EVALUATIONS, INC.
CRD#: 10985 / SEC#: 801-15614, 8-25520
Contact information
Disclosures
| Regulatory Event | 6 |
Red Flags
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