Sarah 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.
Sarah Elizabeth Baker, who also goes by Sarah Baker, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2012. Sarah had worked at 1 firm and has passed the Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2012 - June 1, 2014
JOHN CARRIS INVESTMENTS LLC
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 55
Date: 4/25/2013
Limited Representative-Equity Trader ExamCurrent Firm
JOHN CARRIS INVESTMENTS LLC
CRD#: 145767 / SEC#: , 8-67751
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVICTUS CAPITAL INC | HOLDING COMPANY | |
| CARRIS, GEORGE WILLIAM MR. | CEO, COO, CCO | 3079577 |
| CLARK, MICHAEL KEVIN | MANAGING DIRECTOR | |
| NELSON, STEVEN | OWNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
