Timothy M. 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.
Timothy Mc Baker, who also goes by Timothy Maurice Carr Baker, Timothy Maurice Baker, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2000. Timothy had worked at 7 firms and has passed the Series 63, Series 66, Series 57TO, SIE, Series 55, Series 7, Series 31, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2022 - April 5, 2023
B. RILEY SECURITIES, INC.
April 20, 2021 - December 14, 2021
IMPERIAL CAPITAL, LLC
August 25, 2020 - May 3, 2021
MAXIM GROUP LLC
August 27, 2018 - August 24, 2020
JONESTRADING
May 7, 2016 - July 13, 2018
COWEN AND COMPANY
April 2, 2004 - May 11, 2016
CRT CAPITAL GROUP LLC
August 22, 2000 - December 11, 2001
MORGAN STANLEY DW 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
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/27/2004
Limited Representative-Equity Trader ExamCurrent Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 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.
