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CB

Christopher H. Baker

FORESIDE FUND SERVICES
New York, NY 10119
Some features on this profile are disabled
CRD#: 2878523
CB

Professional summary

Christopher Howard Baker, who also goes by Chris Howard Baker, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1997. Christopher has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Howard 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 Christopher Howard Baker'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

August 23, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 250 West 34th Street 3rd Floor, New York, NY 10119
BD
CRD#: 46106
New York, NY
Past

March 26, 2018 - August 23, 2024

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

December 15, 2017 - March 6, 2018

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
DENVER, CO
Past

December 10, 2008 - December 21, 2016

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
SO. BOSTON, MA
Past

October 29, 2008 - December 21, 2016

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

August 7, 2008 - October 27, 2008

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

May 25, 2005 - June 11, 2008

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

May 22, 1997 - October 27, 2008

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
ANDOVER, MA

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
Connecticut
(8/23/2024)
RR
Delaware
(8/23/2024)
RR
Maine
(8/23/2024)
RR
Maryland
(8/23/2024)
RR
Massachusetts
(8/23/2024)
RR
New Hampshire
(8/23/2024)
RR
New York
(8/23/2024)
RR
Rhode Island
(8/23/2024)
RR
Texas
(8/23/2024)
RR
Vermont
(8/23/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/10/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/2/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/3/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/20/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 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#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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

FORESIDE FUND SERVICES, LLC

CRD#: 46106New York, NY 10119

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