Christine L. Baker

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CRD#: 5944680

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.

Christine Lynn Baker, who also goes by Christine L Chesner, was a registered financial professional .

Christine is a previously registered financial professional and started their career in finance in 2013. Christine had worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Christine L Chesner

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.

Christine L. Baker works as a driver for Instacart.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 10, 2025 - August 21, 2025

PUBLIC SAFETY FINANCIAL/GALLOWAY

RIA

CRD#: 141091

MESA, AZ

Past

November 15, 2013 - September 25, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Phoenix, AZ

Past

May 21, 2013 - September 25, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Phoenix, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PUBLIC SAFETY FINANCIAL/GALLOWAY

GALLOWAY | THE PRIVATE CLIENT GROUP, LLC | PUBLIC SAFETY FINANCIAL/GALLOWAY | GALLOWAY ASSET MANAGEMENT LLC

CRD#: 141091 / SEC#: 801-68901

RIA

Registered Investment Advisory firm - (3/20/2008 Approved)

Arizona

Registered Investment Advisory firm - (4/21/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/14/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 3/18/2016

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 2/12/2016

General Securities Sales Supervisor - General Module Examination

Current Firm

PUBLIC SAFETY FINANCIAL/GALLOWAY

GALLOWAY | THE PRIVATE CLIENT GROUP, LLC | PUBLIC SAFETY FINANCIAL/GALLOWAY | GALLOWAY ASSET MANAGEMENT LLC

CRD#: 141091 / SEC#: 801-68901

RIA

Registered Investment Advisory firm - (3/20/2008 Approved)

Arizona

Registered Investment Advisory firm - (4/21/2008 Terminated)

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Contact information

Main Address

1138 N Alma School Rd Suite 201, Mesa, AZ 85201

Mailing Address

Phone number

(480) 325-8668

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GALLOWAY ASSET MANAGEMENT, LLC (4/7/2025)

Regulatory assets under management

Total Number of Accounts	4,184
AUM (Assets Under Management)	$ 942,235,740

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.

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Advisor Monitoring

Firm Stability Insights

Christine L. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

PUBLIC SAFETY FINANCIAL/GALLOWAY

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2013

SIE

Date: 10/1/2018

Series 7

Date: 5/20/2013

Series 9

Date: 3/18/2016

Series 10

Date: 2/12/2016

Current Firm

PUBLIC SAFETY FINANCIAL/GALLOWAY

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PUBLIC SAFETY FINANCIAL/GALLOWAY

TRUST BUT VERIFY

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