Scott E. Fletcher
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.
Scott Edward Fletcher was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1995. Scott had worked at 10 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 50, Series 7, Series 54 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2018 - April 7, 2022
THE BAKER GROUP, LP
April 19, 2017 - May 30, 2018
FIRST EMPIRE ASSET MANAGEMENT, INC
April 19, 2017 - May 30, 2018
FIRST EMPIRE SECURITIES, INC.
October 10, 2013 - April 25, 2017
AMERITAS INVESTMENT COMPANY, LLC
October 10, 2013 - April 25, 2017
AMERITAS INVESTMENT COMPANY, LLC
February 12, 2013 - October 1, 2013
VANTAGE INVESTMENT PARTNERS, LLC
June 25, 2008 - August 17, 2012
COMMERCE BROKERAGE SERVICES, INC.
November 19, 2004 - October 20, 2005
GOLD CAPITAL MANAGEMENT INC.
June 29, 2004 - September 7, 2004
STERN BROTHERS & CO.
September 30, 1999 - April 4, 2000
MAM SECURITIES, LLC
March 13, 1996 - September 27, 1999
UMB FINANCIAL SERVICES, INC.
September 12, 1995 - September 12, 1995
UMB FINANCIAL SERVICES, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
THE BAKER GROUP, LP
CRD#: 7888 / SEC#: 801-64345, 8-23684
Contact information
FINRA licenses (29 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAMES BAKER GROUP, INC. | GENERAL PARTNER | |
| HAYHURST, RYAN WARNER | PRESIDENT | 2783567 |
| HILL, RONALD AUSTIN | MANAGING PARTNER | 4652327 |
| HUXLEY, CARL WAYNE | CHIEF EXECUTIVE OFFICER | 5476871 |
| THE BAKER GROUP SOFTWARE SOLUTIONS, INC. | CLASS A LIMITED PARTNER | |
| AFFOLDER, BRIAN LEE | MANAGING PARTNER | 2170742 |
| BAUMANN, MARK DUANE | MANAGING PARTNER | 5977593 |
| BLOSS, JOHN DAVID | MANAGING PARTNER | 5423261 |
| CURRIE, JOHN TAYLOR | MANAGING PARTNER | 2800397 |
| HART, FRANK GERALD | MANAGING PARTNER | 5666950 |
| KINZER, JANTZ HUGHES | MANAGING PARTNER | 2398922 |
| OAKES, JEFFREY ROBERT | MANAGING PARTNER | 4020640 |
| PHILLIPS, KATHRYN ANNE | MANAGING PARTNER/CHIEF FINANCIAL OFFICER/CHIEF OPERATIONS OFFICER | 4707853 |
| STENSETH, PHILIP CLARK | MANAGING PARTNER | 1845025 |
| WRINKLE, MISTY WELLS | CHIEF COMPLIANCE OFFICER | 2752550 |
Disclosures
| Regulatory Event | 4 |
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.
