Rush 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.
Rush Emmons Baker IV, who also goes by Rush Emmons Baker, Rush Baker, was a registered financial professional .
Rush is a previously registered financial professional and started their career in finance in 2011. Rush had worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 79 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 10, 2019 - October 19, 2022
SNOWBRIDGE SECURITIES LLC
October 10, 2017 - September 10, 2019
DC ADVISORY
March 14, 2011 - July 23, 2013
DWS DISTRIBUTORS, INC.
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
Series 7TO
Date: 10/18/2019
General Securities Representative ExaminationCurrent Firm
SNOWBRIDGE SECURITIES LLC
CRD#: 301996 / SEC#: , 8-70363
Contact information
FINRA licenses (34 States and Territories)
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.
