Bracknell E. 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.
Bracknell Elijah Baker, CFP®, ChFC®, CLU® was a registered financial professional .
Bracknell is a previously registered financial professional and started their career in finance in 2003. Bracknell had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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
Start date: 2015
Experience
October 31, 2019 - April 12, 2021
CABOT LODGE SECURITIES LLC
September 29, 2008 - October 30, 2019
IFS SECURITIES
April 20, 2006 - October 14, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 25, 2003 - April 27, 2006
OGILVIE SECURITY ADVISORS CORPORATION
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 7TO
Date: 4/29/2024
General Securities Representative ExaminationCurrent Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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