David H. Baker
Professional summary
David Harrison Baker was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, David had worked at 8 firms, which includes LADENBURG THALMANN & CO. INC., SCHONFELD SECURITIES LLC, PALI CAPITAL INC., PALI CAPITAL LLC, DRESKIN GILLMAN & GRANET INC., CARLIN EQUITIES LLC, REICH & CO. INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2007 - October 1, 2007
LADENBURG THALMANN & CO. INC.
October 5, 2004 - August 16, 2006
SCHONFELD SECURITIES, LLC
April 30, 2002 - October 7, 2004
PALI CAPITAL, INC.
June 13, 2000 - April 30, 2002
PALI CAPITAL, LLC
June 30, 1999 - June 9, 2000
DRESKIN, GILLMAN & GRANET, INC.
September 3, 1997 - April 8, 1998
CARLIN EQUITIES, LLC
October 29, 1990 - May 6, 1991
REICH & CO., INC.
May 22, 1990 - August 29, 1990
LEHMAN BROTHERS 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
Exams
Series 55
Date: 7/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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