Susan G. 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.
Susan Garcia Baker, who also goes by Susan Lynn Garcia, Susan Garcia, Susan Lynn Garcia, was a registered financial advisor .
Susan is a previously registered financial advisor and started their career in finance in 1988. Susan had worked at 5 firms and has passed the Series 65, 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
May 30, 2006 - January 18, 2007
RMIN SECURITIES, INC.
May 17, 2006 - January 18, 2007
RMIN SECURITIES, INC.
January 24, 2003 - May 2, 2006
TLG ADVISORS, INC.
March 14, 1997 - May 2, 2006
THE LEADERS GROUP, INC.
January 4, 1991 - February 11, 1997
SECURIAN FINANCIAL SERVICES, INC.
February 23, 1988 - October 14, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
RMIN SECURITIES, INC.
CRD#: 47274 / SEC#: , 8-51724
Contact information
Documents
Disclosures
| Regulatory Event | 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.
