John Christian Baker Iii
Professional Summary
John Christian Baker III, who also goes by Chris Baker, John Christian Baker, is a registered financial advisor currently at SP SECURITIES LLC located in Houston, Texas. John is registered as a RR (Registered Representative) and started their career in finance in 1977. John has worked at 16 firms and has passed the Series 66, Series 79TO, Series 99TO, SIE, Series 7, Series 52, Series 24 and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Chris Baker, John Christian Baker
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
49 years in the financial services industry
Current & Past Employments
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Current Firm
SP SECURITIES LLC
Contact Information
Main Address
6363 Woodway Dr Suite 1000, Houston, TX 77057Mailing Address
6363 Woodway Dr Suite 1000, Houston, TX 77057Phone Number
(713) 819-8980Established
Texas since 01/15/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (18 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAGE PARTNERS LTD. | SOLE MEMBER | — |
| BINET, TODD M. | MANAGER, REGISTERED PRINCIPAL | — |
| MILLER, DAVID SUTTON | MANAGER, REGISTERED PRINCIPAL | 2097046 |
| MORIN, PETER B. | MANAGER, REGISTERED PRINCIPAL | — |
| WALTON, H. STEVEN | MANAGER, REGISTERED PRINCIPAL | — |
| WILSON, WILLIAM HOWARD JR | MANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL | — |
| WILSON, WILLIAM HOWARD JR | DESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER | 1430161 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(1/5/2017)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jul 2008About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Christian Baker III's CRS (Customer Relationship Summary).
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