Wendell L. 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.
Wendell L Baker, who also goes by Wendell Baker, was a registered financial professional .
Wendell is a previously registered financial professional and started their career in finance in 1993. Wendell had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 1998 - April 23, 2003
TRANSGLOBAL CAPITAL CORPORATION
April 29, 1997 - August 12, 1998
QUINCY CASS ASSOCIATES, INCORPORATED
August 12, 1996 - March 28, 1997
DABNEY/RESNICK/IMPERIAL, LLC
March 20, 1995 - July 19, 1996
CIBC WORLD MARKETS CORP.
December 20, 1993 - June 26, 1995
MEYERS 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
TRANSGLOBAL CAPITAL CORPORATION
CRD#: 33347 / SEC#: , 8-46099
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| POLK, JOICEITA T | PRESIDENT/CHIEF EXECUTIVE OFFICER | 3094319 |
| SPECTRUM EQUITIES, LLC | OWNER |
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.
