David N. 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.
David Nathan Baker, who also goes by David N Baker, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 9 firms and has passed the Series 65, Series 63, Series 55 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
April 10, 2014 - July 3, 2015
MERCADYNE INVESTMENTS, LLC
April 1, 2005 - April 18, 2006
MERRIMAN CAPITAL, INC.
November 24, 2003 - February 4, 2007
CORE FUND MANAGEMENT, L.P.
March 17, 2003 - April 4, 2005
THE SHEMANO GROUP, INC.
September 26, 2002 - September 26, 2002
HOEFER & ARNETT, INCORPORATED
April 5, 2002 - October 1, 2002
RUMSON CAPITAL, LLC
November 30, 2001 - March 22, 2002
ELECTRONIC TRADING GROUP, LLC
August 31, 2001 - November 30, 2001
FIRST NEW YORK SECURITIES L.L.C.
August 31, 1992 - March 15, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 9/19/2001
Limited Representative-Equity Trader ExamCurrent Firm
MERCADYNE INVESTMENTS, LLC
CRD#: 168258 / SEC#:
Contact information
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.
