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Michael G. Baker

Some features on this profile are disabled
CRD#: 2215803
MB

Professional summary

Michael Glenn Baker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Michael had worked at 10 firms, which includes MOLONEY SECURITIES CO. INC., WESTROCK ADVISORS INC., WESTMINSTER SECURITIES CORPORATION, B. RILEY WEALTH MANAGEMENT, NATIONAL SECURITIES CORPORATION, JOHNSON RESEARCH & CAPITAL INCORPORATED, WALNUT STREET SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, CHARLOTTE S. COHEN & COMPANY INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 30, 2007 - August 27, 2009

MOLONEY SECURITIES CO., INC.

BD
CRD#: 38535
MANCHESTER, MO
Past

April 19, 2005 - July 24, 2007

WESTROCK ADVISORS, INC.

BD
CRD#: 114338
NEW YORK, NY
Past

January 13, 2005 - April 21, 2005

WESTMINSTER SECURITIES CORPORATION

RIA
CRD#: 6105
ST LOUIS, MO
Past

May 2, 2003 - April 21, 2005

WESTMINSTER SECURITIES CORPORATION

BD
CRD#: 6105
NEW YORK, NY
Past

October 17, 2001 - May 6, 2003

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MEMPHIS, TN
Past

November 15, 1999 - November 16, 2001

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

August 8, 1997 - September 22, 1999

JOHNSON RESEARCH & CAPITAL INCORPORATED

BD
CRD#: 4343
ST. LOUIS, MO
Past

February 17, 1995 - December 31, 1995

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

November 1, 1993 - March 14, 1995

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

August 12, 1993 - October 26, 1993

CHARLOTTE S. COHEN & COMPANY, INC.

BD
CRD#: 6401
ST. LOUIS, MO
Past

April 7, 1992 - July 8, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/26/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/15/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/6/1992
General Securities Representative Examination

Current Firm

MS
MOLONEY SECURITIES CO., INC.
ADVANCED FINANCIAL SOLUTIONS, LLC | WESTPORT ADVISORY GROUP | WARREN FINANCIAL SERVICES | VANCE CAPITAL | THE RESOURCE PARTNERS GROUP | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SYNERGISTIC FINANCIAL | SUGAR CREEK INVESTMENT ADVISORY GROUP, LLC | STERLING CAPITAL MANAGEMENT | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT, INC. | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SECURUS SENIOR PLANNING SOLUTIONS, LLC | SECURUS | SAT WEALTH MANAGEMENT LLC | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH GROUP | ROYAL ROUTE COMPANY LLC | PROFESSIONAL INVESTMENT MANAGEMENT | PLANNED INVESTMENT CO INC | NMG FINANCIAL SERVICES | NET STREET BROKERAGE | MOSECO ASSET MANAGEMENT | MONETARY MANAGEMENT GROUP, INC. | MOLONEY SECURITIES CO., INC. | MOLONEY SECURITIES ASSET MANAGEMENT | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, INC. | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JIM RAIA INVESTMENT GROUP | JCL CAPITAL MANAGEMENT, LLC | JCL CAPITAL MANAGEMENT | INVESTMENT CENTER OF TOMAHAWK | INVESTMENT CENTER OF ESTES PARK, INC. | INVESTMENT CENTER OF ESTES PARK | INVESTMENT CENTER | HERITAGE INVESTMENT MANAGEMENT, LLP | HERITAGE INVESTMENT MANAGEMENT LLP | GRAND GLAIZE WEALTH MANAGEMENT | GENE PANASENKO, INC. | FIRST MID AMERICA, INC. | EVERHART WEALTH MANAGEMENT LLC | CP WEALTH | CORRIGAN-JONES INVESTMENT ADVISORS | CHRISTIANSON FINANCIAL ADVISORS, LLC | CHANEY & ASSOCIATES | CANDICE MONTIE INSURANCE & INVESTMENTS | C&A FINANCIAL ADVISORS | BRIDGES FINANCIAL ASSOCIATES, INC. | BRIDGES FINANCIAL ASSOCIATES | ATLANTIC SENIOR ADVISORS LLC | ASSET ALLIANCE FINANCIAL | ARTISAN ASSET MANAGEMENT, LLC | ARTISAN ASSET MANAGEMENT | ARLINGTON FINANCIAL SERVICES

CRD#: 38535 / SEC#: 801-64722, 8-48326

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

Main Address
13537 Barrett Parkway Drive Suite 300, Manchester, MO 63021
Mailing Address
13537 Barrett Parkway Drive #300, Manchester, MO 63021
Phone number
(314) 909-0600
Established
Missouri since 05/03/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

MOLONEY SECURITIES - FORM ADV PART 2A BROCHURE - MARCH 2016 (3/29/2016)

Direct owners and executive officers

NamePositionCRD#
BRIAR GREEN HOLDINGS, INC.OWNER
CORRIGAN, BRIAN PATRICKINVESTOR/DIRECTOR4258969
HANCOCK, DONALD RALPHCHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN828811
HOLOWATUK, WILLIAM JAMESDIRECTOR OF COMPLIANCE6107023
HUME, SCOTT ALLENINVESTOR/DIRECTOR2894512
MEDLEY, JOSEPH RONALD JRINVESTOR/DIRECTOR2619119
MOLONEY, EDWARD JOHN JRPRESIDENT, OFFICER/DIRECTOR3188341
ROSEMAN, JEFFREY PATRICKCHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP6296481
STEEL, GEORGE DONALDINVESTOR/DIRECTOR716992
WIESER, RYAN MATHEWVICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR4940639

Disclosures

Regulatory Event10
Arbitration6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

MOLONEY SECURITIES CO., INC.

CRD#: 38535

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