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PB

Phillip G. Baker

INVESTMENT DISTRIBUTORS
Birmingham, AL 35223
Some features on this profile are disabled
CRD#: 5674688
PB

Professional summary

Phillip G Baker, who also goes by Phil Baker, is a registered financial professional currently at INVESTMENT DISTRIBUTORS, INC. located in Birmingham, Alabama.

Phillip is registered as a RR (Registered Representative) and started their career in finance in 2009. Phillip has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Phil 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) - BD

Click below to view Phillip G Baker's CRS (Customer Relationship Summary).

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

Current

January 3, 2022 - Present

INVESTMENT DISTRIBUTORS, INC.

Office #1: 2801 Highway 280 South, Birmingham, AL 35223
BD
CRD#: 35490
Birmingham, AL
Past

April 12, 2011 - January 3, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
CINCINNATI, OH
Past

August 24, 2009 - March 28, 2011

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
CINCINNATI, OH

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/3/2023)
RR
Arkansas
(1/3/2023)
RR
Florida
(1/3/2023)
RR
Georgia
(1/3/2023)
RR
Illinois
(1/3/2023)
RR
Indiana
(1/3/2023)
RR
Iowa
(1/3/2023)
RR
Kansas
(1/3/2023)
RR
Kentucky
(1/3/2025)
RR
Louisiana
(1/3/2023)
RR
Michigan
(1/3/2025)
RR
Minnesota
(1/3/2023)
RR
Mississippi
(1/3/2023)
RR
Missouri
(1/3/2023)
RR
Ohio
(1/3/2022)
RR
Oklahoma
(1/3/2025)
RR
Tennessee
(1/3/2023)
RR
West Virginia
(1/3/2025)
RR
Wisconsin
(1/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/26/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/21/2009
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ID
INVESTMENT DISTRIBUTORS, INC.
INVESTMENT DISTRIBUTORS, INC.

CRD#: 35490 / SEC#: , 8-46802

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
2801 Highway 280 South, Birmingham, AL 35223
Mailing Address
2801 Highway 280 South, Birmingham, AL 35223
Phone number
(205) 268-5202
Established
Tennessee since 08/30/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PROTECTIVE LIFE CORPORATIONPARENT COMPANY
BAGGETT, ALAN SASSISTANT FINANCIAL OFFICER8088232
CARLSON, MARTHA LDESIGNATED RESPONSIBLE LICENSED PRODUCER2731502
COFFMAN, BENJAMIN PAULCHIEF FINANCIAL OFFICER6738662
COLLAZO, KIMBERLYASSISTANT SECRETARY8075061
CREUTZMANN, SCOTT EMILDIRECTOR5351383
LANE, JAMIE LAURADIRECTOR5779720
MCCRELESS, KEVIN LUCIUSCHIEF COMPLIANCE OFFICER5180100
MORSCH, LETITIA ADIRECTOR & ASSISTANT SECRETARY5133531
TENNENT, RAYBURN EDWARDASSISTANT FINANCIAL OFFICER6245099
WAGNER, JAMES CARL JRPRESIDENT & DIRECTOR4261922

Disclosures

Regulatory Event1

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

INVESTMENT DISTRIBUTORS, INC.

CRD#: 35490Birmingham, AL 35223

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