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GB

George G. Bakker

Some features on this profile are disabled
CRD#: 4668512
GB

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.

George Gerritt Bakker, who also goes by George Baker, was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 2003. George had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Baker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 12, 2009 - January 17, 2012

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
TERRE HAUTE, IN
Past

July 7, 2003 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
INDIANAPOLIS, IN
Past

July 7, 2003 - July 9, 2009

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
INDIANAPOLIS, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/4/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/25/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 7/3/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LE
LEGEND EQUITIES CORPORATION
LEGEND EQUITIES CORPORATION | THE LEGEND GROUP'S PROFESSIONAL ATHLETES RETIREMENT SERVICES | THE LEGEND GROUP'S PROFESSIONAL ATHLETES FINANCIAL SERVICES | THE LEGEND GROUP

CRD#: 30999 / SEC#: , 8-45286

BD
Terminated by SEC on 03/14/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/04/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LEGEND GROUP HOLDINGS, LLCDIRECT OWNER
ANTONIADES, ADAM NICHOLASDIRECTOR2261744
BONNEAU, CATHERINE MCCORMACKDIRECTOR2899706
GINGRICH, MIRALDAVICE PRESIDENT1985431
GRIFFEY, ENA MARIAFINOP4460199
HALEY, BRIAN JOSEPHCHIEF COMPLIANCE OFFICER4361815
MEHROTRA, SHASHIDIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT2640875
RUDNICK, REGINA MARYVICE PRESIDENT2373530
SHELSON, MARK PAULTREASURER1819252

Disclosures

Regulatory Event6
Arbitration1

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.

Company Information

LEGEND EQUITIES CORPORATION

CRD#: 30999

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