Shawn 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.
Shawn Edward Baker, who also goes by Shawn Baker, was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2007. Shawn had worked at 9 firms and has passed the Series 65, Series 63, 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
Experience
October 10, 2018 - December 1, 2020
WELLS FARGO CLEARING SERVICES, LLC
October 8, 2018 - December 1, 2020
WELLS FARGO CLEARING SERVICES, LLC
March 15, 2018 - September 17, 2018
CETERA INVESTMENT ADVISERS LLC
March 12, 2018 - September 17, 2018
CETERA INVESTMENT SERVICES LLC
December 20, 2017 - March 7, 2018
PNC WEALTH MANAGEMENT LLC
November 4, 2016 - August 23, 2017
PNC WEALTH MANAGEMENT LLC
November 4, 2016 - March 7, 2018
PNC WEALTH MANAGEMENT LLC
February 22, 2016 - October 13, 2016
VALIC FINANCIAL ADVISORS, INC.
February 22, 2016 - October 13, 2016
VALIC FINANCIAL ADVISORS, INC.
August 26, 2015 - February 29, 2016
LPL FINANCIAL LLC
August 26, 2015 - February 29, 2016
LPL FINANCIAL LLC
May 4, 2012 - December 5, 2014
ESSEX NATIONAL SECURITIES, LLC
May 4, 2012 - December 5, 2014
ESSEX NATIONAL SECURITIES, LLC
February 16, 2012 - May 7, 2012
PNC WEALTH MANAGEMENT LLC
February 16, 2012 - May 7, 2012
PNC WEALTH MANAGEMENT LLC
April 20, 2011 - February 13, 2012
PNC WEALTH MANAGEMENT LLC
April 20, 2011 - February 13, 2012
PNC WEALTH MANAGEMENT LLC
September 4, 2009 - May 2, 2011
LPL FINANCIAL LLC
September 4, 2009 - May 2, 2011
LPL FINANCIAL LLC
August 12, 2008 - September 8, 2009
NATCITY INVESTMENTS, INC.
August 12, 2008 - September 8, 2009
NATCITY INVESTMENTS, INC.
November 14, 2007 - August 19, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
October 10, 2007 - August 19, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 183 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
