Vicki J. 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.
Vicki Jo Baker, who also goes by VIcki Jo Hosler, Vicki Jo Klingler, Vicki Klingler, was a registered financial professional .
Vicki is a previously registered financial professional and started their career in finance in 1995. Vicki had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2022 - December 31, 2025
INVESTMENT PLANNERS, INC.
August 10, 2009 - November 18, 2022
MML INVESTORS SERVICES, LLC
February 28, 2002 - July 8, 2009
PRINCIPAL SECURITIES, INC.
May 2, 1995 - April 25, 2000
PRINCIPAL SECURITIES, INC.
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
INVESTMENT PLANNERS, INC.
CRD#: 18557 / SEC#: , 8-35642
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
