Erik A. Baron
Professional summary
Erik Antony Baron was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Erik is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Erik had worked at 3 firms, which includes BAIRD PATRICK & CO. INC., PHD CAPITAL, JOSEPH STEVENS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2001 - April 25, 2002
BAIRD, PATRICK & CO., INC.
October 4, 2001 - December 17, 2001
PHD CAPITAL
May 17, 2001 - September 10, 2001
JOSEPH STEVENS & CO., INC.
July 20, 2000 - October 9, 2000
JOSEPH STEVENS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 5/12/2000
Corporate Securities Limited Representative ExaminationCurrent Firm
BAIRD, PATRICK & CO., INC.
CRD#: 1149 / SEC#: , 8-18029
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 2 |
Red Flags
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