John C. Baker
Professional summary
John Christian Baker III, who also goes by Chris Baker, John Christian Baker, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Christian Baker III's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2017 - Present
SP SECURITIES LLC
Office #1: 1800 Augusta Drive Suite 312, Houston, TX 77057May 21, 2013 - December 19, 2016
STERN BROTHERS & CO.
August 18, 2009 - June 3, 2013
WOODROCK SECURITIES, L.P.
June 5, 2007 - August 12, 2009
ABSHIER WEBB DONNELLY & BAKER, INC.
February 16, 2005 - June 12, 2006
REALIZED FINANCIAL, INC.
May 18, 2004 - February 2, 2005
COWEN SECURITIES, LP
May 13, 2003 - March 16, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
April 11, 2003 - March 16, 2004
IDS LIFE INSURANCE COMPANY
April 11, 2003 - March 16, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
January 12, 1998 - November 7, 2001
BAKER KREFT SECURITIES, L.L.C.
May 9, 1994 - October 19, 1995
MORGAN KEEGAN & COMPANY, LLC
July 27, 1993 - May 9, 1994
STEPHENS
February 25, 1992 - June 2, 1992
BANC ONE CAPITAL MARKETS, INC.
May 9, 1988 - March 9, 1992
M. E. ALLISON & CO., INC.
June 4, 1984 - February 11, 1988
E. F. HUTTON & COMPANY INC
July 18, 1983 - April 23, 1984
RAUSCHER PIERCE REFSNES, INC.
September 26, 1977 - November 1, 1983
UNDERWOOD, NEUHAUS & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/5/2017)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 7/31/2008
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
SP SECURITIES LLC
CRD#: 130560 / SEC#: , 8-66360
Contact information
FINRA licenses (15 States and Territories)
Documents
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 | 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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