Mark 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.
Mark Alan Baker, who also goes by Mark Baker, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 6 firms and has passed the Series 63, 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
June 26, 2018 - October 2, 2019
TGP SECURITIES, INC.
February 4, 2016 - May 25, 2018
SHOREBRIDGE CAPITAL SECURITIES, LLC
December 10, 2014 - February 8, 2016
SPP CAPITAL PARTNERS L L C
December 12, 2011 - July 31, 2014
MERRION SECURITIES, LLC
August 14, 2000 - November 17, 2011
HSBC SECURITIES (USA) INC.
October 6, 1997 - July 26, 2000
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
Current Firm
TGP SECURITIES, INC.
CRD#: 159008 / SEC#: , 8-68955
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 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.
