David M. Baker
Professional summary
David Michael Baker is a registered financial professional currently at FTI CAPITAL ADVISORS, LLC located in Denver, Colorado.
David is registered as a RR (Registered Representative) and started their career in finance in 2006. David has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Michael Baker's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 1, 2023 - Present
FTI CAPITAL ADVISORS, LLC
Office #1: 999 17th Street Suite 700, Denver, CO 80202May 11, 2018 - January 9, 2023
CAPSTONE PARTNERS
March 5, 2013 - November 4, 2018
HEADWATERS BD, LLC
June 19, 2008 - July 31, 2008
LAZARD MIDDLE MARKET LLC
December 10, 2007 - July 31, 2008
LAZARD FRERES & CO. LLC
January 19, 2006 - July 31, 2008
GOLDSMITH, AGIO, HELMS 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
(2/1/2023)
(9/2/2023)
(9/2/2023)
Exams
Series 7TO
Date: 9/30/2023
General Securities Representative ExaminationFINRA
Current Firm
FTI CAPITAL ADVISORS, LLC
CRD#: 123434 / SEC#: , 8-65587
Contact information
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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