Daniel M. 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.
Daniel Michael Baker, who also goes by Daniel M Baker, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1990. Daniel had worked at 6 firms and has passed the Series 63, Series 55, Series 7, Series 4 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
July 3, 2002 - February 29, 2012
HEFLIN & CO., L.L.C.
February 18, 1998 - June 28, 2002
D.A. DAVIDSON & CO.
October 4, 1996 - February 18, 1998
JENSEN SECURITIES CO.
May 4, 1994 - February 5, 1996
CANTOR FITZGERALD & CO.
August 17, 1993 - May 2, 1994
GILFORD SECURITIES INCORPORATED
July 25, 1990 - April 28, 1993
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
Series 55
Date: 3/31/2000
Limited Representative-Equity Trader ExamCurrent Firm
HEFLIN & CO., L.L.C.
CRD#: 41170 / SEC#: , 8-49308
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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