Betsy J. 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.
Betsy Jane Baker, who also goes by Betsy Baker, was a registered financial professional .
Betsy is a previously registered financial professional and started their career in finance in 2009. Betsy had worked at 3 firms and has passed the Series 66 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
September 3, 2010 - February 28, 2012
INVESTMENT ADVISORS CORP
September 3, 2010 - February 28, 2012
BROKER DEALER FINANCIAL SERVICES CORP.
January 18, 2010 - July 12, 2010
WADDELL & REED
December 15, 2009 - July 12, 2010
WADDELL & REED
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
INVESTMENT ADVISORS CORP
CRD#: 117531 / SEC#: 801-69573
Contact information
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.
