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Frederick L. Baker

STRONG CAPITAL MARKETS
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 2799103
FB

Professional summary

Frederick Lloyd Baker IV, who also goes by Frederick Lloyd Baker, is a registered financial professional currently at STRONG CAPITAL MARKETS, LLC located in Stamford, Connecticut.

Frederick is registered as a RR (Registered Representative) and started their career in finance in 1996. Frederick has worked at 8 firms and has passed the Series 65, Series 63, Series 57TO, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frederick Lloyd Baker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frederick Lloyd Baker IV's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 14, 2023 - Present

STRONG CAPITAL MARKETS, LLC

Office #1: 1266 East Main Street, Stamford, CT 06902
BD
CRD#: 314056
Stamford, CT
Past

October 1, 2013 - November 18, 2014

SOURCE CAPITAL GROUP, INC.

RIA
CRD#: 36719
WESTPORT, CT
Past

June 4, 2013 - November 18, 2014

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

June 21, 2012 - January 29, 2013

TRADEWEB DIRECT LLC

BD
CRD#: 103787
NEW YORK, NY
Past

April 11, 2012 - June 6, 2012

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

September 15, 2008 - December 8, 2011

BONDS.COM LLC

BD
CRD#: 43875
NEW YORK, NY
Past

January 11, 2007 - September 15, 2008

COMERICA SECURITIES

RIA
CRD#: 17079
FT. LAUDERDALE, FL
Past

August 18, 2006 - September 15, 2008

COMERICA SECURITIES

BD
CRD#: 17079
FT. LAUDERDALE, FL
Past

September 25, 2002 - September 9, 2005

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

November 7, 1997 - April 2, 1998

S.N. PHELPS & CO.

BD
CRD#: 18341
Past

November 26, 1996 - July 18, 1997

ARJENT LTD.

BD
CRD#: 35909
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(1/23/2024)
RR
Connecticut
(1/19/2024)
RR
Florida
(1/19/2024)
RR
New York
(1/21/2024)
RR
South Dakota
(3/1/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/5/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/22/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 7/2/2024
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/14/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/24/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/13/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/9/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SC
STRONG CAPITAL MARKETS, LLC
STRONG CAPITAL MARKETS, LLC

CRD#: 314056 / SEC#: , 8-70746

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
1266 East Main Street, Stamford, CT 06902
Mailing Address
1266 East Main Street, Stamford, CT 06902
Phone number
(475) 477-9600
Established
Delaware since 03/02/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STRONG CAPITAL HOLDINGS COMPANY, LLCSOLE MEMBER
ARMSTRONG, GORDON LAWRENCEPRESIDENT, CHIEF COMPLIANCE OFFICER2554979
COPPETO, JOHN LOUISCHIEF OPERATING OFFICER2044981
KRIEWALD, JESSICAFINOP/POO/PFO7052634

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.

Company Information

STRONG CAPITAL MARKETS, LLC

CRD#: 314056Stamford, CT 06902

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