Jonathan A. 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.
Jonathan Andrew Baker, who also goes by Jonathan Andrew Baker Mr, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1994. Jonathan had worked at 5 firms and has passed the Series 63, Series 79TO, SIE 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
October 3, 2018 - April 2, 2020
WHITE OAK MERCHANT PARTNERS LLC
February 21, 2018 - August 28, 2018
BCP SECURITIES, INC.
April 4, 2011 - January 12, 2016
DEUTSCHE BANK SECURITIES INC.
February 24, 2009 - August 13, 2009
ATLAS ONE FINANCIAL GROUP, LLC
July 5, 2005 - January 16, 2009
CREDIT SUISSE SECURITIES (USA) LLC
May 30, 2002 - July 5, 2005
DEUTSCHE BANK SECURITIES INC.
September 22, 1994 - May 15, 2002
CREDIT SUISSE SECURITIES (USA) LLC
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 79TO
Date: 1/15/2019
Investment Banking Registered Representative ExaminationCurrent Firm
WHITE OAK MERCHANT PARTNERS LLC
CRD#: 140142 / SEC#: , 8-67283
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
