Patrick D. 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.
Patrick Dean Baker was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1991. Patrick had worked at 5 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2009 - August 16, 2012
OAK STREET SECURITIES, INC.
July 20, 2009 - September 30, 2009
MICG INVESTMENT MANAGEMENT, LLC
February 11, 2008 - June 15, 2009
WELTON STREET INVESTMENTS LLC
October 13, 1992 - October 20, 1992
MACARTHUR STRATEGIES, INC.
January 18, 1991 - November 18, 1991
FSC SECURITIES CORPORATION
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
OAK STREET SECURITIES, INC.
CRD#: 133591 / SEC#: , 8-66743
Contact information
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.
