Gregory H. Baer
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.
Gregory Hamilton Baer was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1993. Gregory had worked at 10 firms and has passed the 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
July 27, 2011 - August 1, 2012
NEWOAK CAPITAL MARKETS LLC
February 5, 2003 - August 12, 2003
MESIROW FINANCIAL, INC.
August 3, 2000 - October 3, 2001
COASTAL SECURITIES, INC.
July 7, 2000 - August 2, 2000
SANDERS MORRIS LLC
March 28, 1997 - July 6, 2000
SPIRES FINANCIAL, L.P.
November 18, 1996 - April 11, 1997
WINDSOR STREET CAPITAL, LP
April 2, 1996 - December 5, 1996
WELLS FARGO CLEARING SERVICES, LLC
August 31, 1994 - March 21, 1995
BANCAMERICA SECURITIES, INC.
April 29, 1994 - July 20, 1994
UBS FINANCIAL SERVICES INC.
May 28, 1993 - February 3, 1994
J.P. MORGAN SECURITIES LLC
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
NEWOAK CAPITAL MARKETS LLC
CRD#: 104063 / SEC#: , 8-52532
Contact information
FINRA licenses (9 States and Territories)
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.
