Staci A. Baker
Professional summary
Staci A. Baker, CIMA®, who also goes by Staci Ann Baker, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.
Staci is registered as a RR (Registered Representative) and started their career in finance in 1998. Staci has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Staci A. Baker's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2011 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 277 Park Ave, New York, NY 10172December 7, 2009 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
October 25, 2007 - October 30, 2009
ADP BROKER-DEALER, INC.
September 13, 2004 - October 22, 2007
WELLS FARGO INVESTMENTS, LLC
September 13, 2004 - October 22, 2007
WELLS FARGO INVESTMENTS, LLC
August 28, 2002 - May 18, 2004
ADP BROKER-DEALER, INC.
July 24, 2002 - August 23, 2002
WAMU INVESTMENTS, INC.
September 28, 2000 - July 27, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
September 28, 2000 - July 27, 2001
VALIC FINANCIAL ADVISORS, INC.
December 18, 1998 - August 2, 2000
UBS 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
(1/2/2014)
(1/3/2011)
(1/3/2011)
(1/3/2011)
(1/3/2024)
Exams
FINRA
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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