TB
Thomas K. Baker
GOLDMAN SACHS & CO. LLC
New York, NY 10282-2198
Some features on this profile are disabled
CRD#: 2315163
TB
Professional summary
Thomas K Baker, who also goes by Thomas Karl Baker, is a registered financial professional currently at GOLDMAN SACHS & CO. LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Karl 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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas K Baker's 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®
NoneExperience
Current
September 30, 2021 - Present
GOLDMAN SACHS & CO. LLC
Office #1: 200 West Street, New York, NY 10282-2198RIA
BD
CRD#: 361
New York, NY
Past
June 14, 2012 - September 23, 2021
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
SAN FRANCISCO, CA
Past
June 14, 2012 - September 23, 2021
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
SAN FRANCISCO, CA
Past
February 16, 2012 - May 21, 2012
HATTERAS INVESTMENT PARTNERS LLC
RIA
CRD#: 128703
DANVILLE, CA
Past
August 24, 2011 - December 31, 2011
HATTERAS INVESTMENT PARTNERS LLC
RIA
CRD#: 128703
RALEIGH, NC
Past
August 23, 2011 - May 21, 2012
HATTERAS CAPITAL DISTRIBUTORS, LLC
BD
CRD#: 143365
RALEIGH, NC
Past
August 9, 2010 - August 5, 2011
MORGAN STANLEY INVESTMENT ADVISORS INC.
RIA
CRD#: 104525
DANVILLE, CA
Past
August 9, 2010 - September 9, 2011
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
NEW YORK, NY
Past
July 1, 2009 - June 8, 2010
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
June 9, 2009 - June 8, 2010
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SAN FRANCISCO, CA
Past
June 1, 2009 - June 19, 2009
MORGAN STANLEY
RIA
CRD#: 149777
SAN FRANCISO, CA
Past
June 1, 2009 - June 19, 2009
MORGAN STANLEY
BD
CRD#: 149777
SAN FRANCISO, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SAN FRANCISO, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SAN FRANCISO, CA
Past
May 13, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
PURCHASE, NY
Past
May 24, 1993 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GOLDMAN SACHS & CO. LLC
GOLDMAN SACHS & CO. LLC | MARCUS INVEST OFFERING OF GOLDMAN SACHS & CO. LLC | GOLDMAN, SACHS & CO. | GOLDMAN SACHS ASSET MANAGEMENT ("GSAM")
CRD#: 361 / SEC#: 801-16048, 8-129
RIA
Registered Investment Advisory firm - SEC (5/13/1981 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(9/30/2021)
RR
Alaska(9/30/2021)
RR
Arizona(9/30/2021)
RR
Arkansas(9/30/2021)
RR
California(9/30/2021)
RR
Colorado(9/30/2021)
RR
Connecticut(9/30/2021)
RR
Delaware(9/30/2021)
RR
District of Columbia(9/30/2021)
RR
Florida(9/30/2021)
RR
Georgia(9/30/2021)
RR
Hawaii(9/30/2021)
RR
Idaho(9/30/2021)
RR
Illinois(9/30/2021)
RR
Indiana(9/30/2021)
RR
Iowa(9/30/2021)
RR
Kansas(9/30/2021)
RR
Kentucky(9/30/2021)
RR
Louisiana(9/30/2021)
RR
Maine(9/30/2021)
RR
Maryland(9/30/2021)
RR
Massachusetts(9/30/2021)
RR
Michigan(9/30/2021)
RR
Minnesota(9/30/2021)
RR
Mississippi(9/30/2021)
RR
Missouri(9/30/2021)
RR
Montana(9/30/2021)
RR
Nebraska(9/30/2021)
RR
Nevada(9/30/2021)
RR
New Hampshire(9/30/2021)
RR
New Jersey(9/30/2021)
RR
New Mexico(9/30/2021)
RR
New York(9/30/2021)
RR
North Carolina(9/30/2021)
RR
North Dakota(9/30/2021)
RR
Ohio(9/30/2021)
RR
Oklahoma(9/30/2021)
RR
Oregon(9/30/2021)
RR
Pennsylvania(9/30/2021)
RR
Puerto Rico(9/30/2021)
RR
Rhode Island(9/30/2021)
RR
South Carolina(9/30/2021)
RR
South Dakota(9/30/2021)
RR
Tennessee(9/30/2021)
RR
Texas(9/30/2021)
RR
Utah(9/30/2021)
RR
Vermont(9/30/2021)
RR
Virgin Islands(9/30/2021)
RR
Virginia(9/30/2021)
RR
Washington(9/30/2021)
RR
West Virginia(9/30/2021)
RR
Wisconsin(9/30/2021)
RR
Wyoming(9/30/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
GOLDMAN SACHS & CO. LLC
GOLDMAN SACHS & CO. LLC | MARCUS INVEST OFFERING OF GOLDMAN SACHS & CO. LLC | GOLDMAN, SACHS & CO. | GOLDMAN SACHS ASSET MANAGEMENT ("GSAM")
CRD#: 361 / SEC#: 801-16048, 8-129
RIA
Registered Investment Advisory firm - SEC (5/13/1981 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 West Street, New York, NY 10282
Mailing Address
111 South Main Street, Salt Lake City, UT 84111
Phone number
(212) 902-1000
Established
New York since 01/03/1927
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
3,704
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GOLDMAN SACHS GROUP, INC. | CLASS A MEMBER | |
| COLEMAN, DENIS PATRICK III | MANAGING DIRECTOR, MANAGER | 2782373 |
| DOYLE, BRIAN RICHARD | MANAGING DIRECTOR, CFO | 6003685 |
| GREEFF, BRIAN MICHAEL | CO-PRINCIPAL OPERATIONS OFFICER | 4273392 |
| MATTHIAS, THOMAS FAIRBANKS | CHIEF COMPLIANCE OFFICER | 2872690 |
| MCCASKILL, MARK | MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 3272131 |
| RUEMMLER, KATHRYN HELEN | MANAGING DIRECTOR, CLO, MANAGER | 7250761 |
| SOLOMON, DAVID MICHAEL | MANAGING DIRECTOR, MANAGER | 1616414 |
| VENEZIA, CARMINE ANTHONY | CHIEF COMPLIANCE OFFICER | 4117304 |
| WALDRON, JOHN EDWARD | MANAGING DIRECTOR, CEO, MANAGER | 2569337 |
Regulatory assets under management
| Total Number of Accounts | 42,138 |
| AUM (Assets Under Management) | $ 233,155,693,023 |
Disclosures
| Regulatory Event | 408 |
| Civil Event | 4 |
| Arbitration | 20 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 09/25/2024 | ||
| 11/17/2023 | ||
| 01/26/2023 |
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.
