Matthew T. Baker

PATRICK CAPITAL MARKETS

Irvine, CA

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CRD#: 2074447

Professional summary

Matthew Troy Baker, who also goes by Matt Baker, is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in Irvine, California.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 1990. Matthew has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matt Baker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Troy Baker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 20, 2021 - Present

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

Irvine, CA

Past

December 13, 2017 - December 19, 2019

HALO SECURITIES, LLC

CRD#: 279029

CHICAGO, IL

Past

June 1, 2010 - December 16, 2015

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

DOWNERS GROVE, IL

Past

December 10, 1996 - December 16, 2015

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

DOWNERS GROVE, IL

Past

October 16, 1996 - December 12, 1996

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 14, 1992 - October 20, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 30, 1990 - November 29, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/21/2021)

Michigan
(3/4/2022)

Exams

State Security Law Exam

Series 63

Date: 8/3/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/24/1993

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/26/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PATRICK CAPITAL MARKETS, LLC

PATRICK CAPITAL MARKETS | PATRICK FINANCIAL CORPORATION | PATRICK CAPITAL MARKETS, LLC

CRD#: 16518 / SEC#: , 8-34099

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

11152 South Towne Square, St Louis, MO 63123

Mailing Address

11152 South Towne Square, St. Louis, MO 63123

Phone number

(314) 528-3000

Established

Missouri since 06/16/2008

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SAXONY FINANCIAL HOLDINGS, LLC.	SOLE OWNER/ MEMBER
CLARK, BRIAN LESLEY	PRESIDENT, CEO, AND CFO	4802438
KLUMP, RYAN CHRISTOPHER	SENIOR VICE PRSIDENT	4762698
MATARAZZI, NATHAN DOMENICO	FINOP, POO AND PFO	4827090
MITCHELL, JARAD BYRAM	COO	4811305
WEBSTER, TERRANCE MICHAEL	CHIEF COMPLIANCE OFFICER	6826889

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Matthew T. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Troy Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

HALO SECURITIES, LLC

INVESCO DISTRIBUTORS, INC.

INVESCO CAPITAL MARKETS, INC.

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/3/1990

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 5/24/1993

Series 7

Date: 7/26/1990

Series 24

Date: 1/2/2023

FINRA

Current Firm

PATRICK CAPITAL MARKETS, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PATRICK CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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