Aasma S. 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.
Aasma Sumaira Baker, who also goes by Aasma Baker, Aasma S Ikramuddin, Aasma Ikramuddin, was a registered financial professional .
Aasma is a previously registered financial professional and started their career in finance in 2001. Aasma had worked at 3 firms and has passed the SIE, Series 7 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
November 4, 2010 - February 26, 2018
ALIGHT FINANCIAL SOLUTIONS, LLC
November 5, 2008 - February 23, 2009
FIDELITY BROKERAGE SERVICES LLC
June 18, 2001 - October 24, 2005
FIDELITY DISTRIBUTORS COMPANY 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
ALIGHT FINANCIAL SOLUTIONS, LLC
CRD#: 36509 / SEC#: , 8-47344
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
