William W. 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.
William Wendell Baker CFA, who also goes by William W Baker, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 4 firms and has passed the Series 63, Series 65, Series 87, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2018 - December 20, 2021
GAINESWOOD INVESTMENT MANAGEMENT, INC.
February 22, 2007 - December 12, 2014
GARP RESEARCH & SECURITIES COMPANY
May 29, 2003 - November 29, 2010
GARP RESEARCH & SECURITIES COMPANY
January 1, 2001 - January 5, 2006
GARP RESEARCH LLC
January 1, 2001 - December 31, 2017
GAINESWOOD INVESTMENT MANAGEMENT, INC.
January 23, 1997 - December 31, 2000
KEANE SECURITIES CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
GAINESWOOD INVESTMENT MANAGEMENT, INC.
CRD#: 121715 / SEC#: 801-69900
Contact information
Red Flags
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