Erika H. 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.
Erika Hovermale Baker, who also goes by Erika H Baker, Erika D Hovermale, was a registered financial professional .
Erika is a previously registered financial professional and started their career in finance in 1997. Erika had worked at 3 firms and has passed the Series 65, Series 63 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
March 30, 2022 - November 7, 2022
HOWARD BAILEY SECURITIES, LLC
March 16, 2020 - September 29, 2022
AE WEALTH MANAGEMENT, LLC
September 26, 1997 - August 19, 1998
JANUS HENDERSON DISTRIBUTORS US LLC
Primary Firm SEC Registration
HOWARD BAILEY SECURITIES, LLC
CRD#: 282712 / SEC#: 801-114636
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
HOWARD BAILEY SECURITIES, LLC
CRD#: 282712 / SEC#: 801-114636
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,793 |
| AUM (Assets Under Management) | $ 484,882,228 |
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.
