Michael J. 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.
Michael Joseph Baker, who also goes by Michael Joseph Baker Jr, Michael Joseph Baker, Michael Baker, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 9 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 31 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
September 5, 2024 - July 14, 2025
J.P. MORGAN SECURITIES LLC
September 5, 2024 - July 14, 2025
J.P. MORGAN SECURITIES LLC
May 17, 2018 - August 28, 2024
CITIGROUP GLOBAL MARKETS INC.
May 17, 2018 - August 28, 2024
CITIGROUP GLOBAL MARKETS INC.
May 17, 2018 - August 28, 2024
CITI PRIVATE ALTERNATIVES, LLC
July 25, 2017 - May 2, 2018
J.P. MORGAN SECURITIES LLC
July 25, 2017 - May 2, 2018
J.P. MORGAN SECURITIES LLC
January 15, 2013 - July 28, 2017
STRATEGIC ADVISERS LLC
August 22, 2012 - July 27, 2017
FIDELITY BROKERAGE SERVICES LLC
October 1, 2008 - July 9, 2012
J.P. MORGAN SECURITIES LLC
December 7, 2005 - October 1, 2008
J.P. MORGAN SECURITIES INC.
June 3, 2002 - January 23, 2003
TRUIST INVESTMENT SERVICES, INC.
March 6, 2002 - January 23, 2003
TRUIST INVESTMENT SERVICES, INC.
November 6, 2001 - January 8, 2002
IDS LIFE INSURANCE COMPANY
November 6, 2001 - January 8, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
