Jonathan C. Baker

CBOE TRADING

Overland Park, KS 66211

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CRD#: 6857004

Professional summary

Jonathan Charles Baker is a registered financial professional currently at CBOE TRADING, INC. located in Overland Park, Kansas.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2017. Jonathan has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Jonathan Charles 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

March 30, 2021 - Present

CBOE TRADING, INC.

Office #1: 6800 West 115th Street Suite 260, Overland Park, KS 66211

CRD#: 136734

Overland Park, KS

Past

June 25, 2019 - March 17, 2021

IVY DISTRIBUTORS, INC.

CRD#: 16496

OVERLAND PARK, KS

Past

August 8, 2018 - June 25, 2019

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

October 24, 2017 - March 7, 2018

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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.

Exams

State Security Law Exam

Series 63

Date: 11/3/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 11/22/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/24/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/27/2020

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/8/2018

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

CBOE TRADING, INC.

BATS TRADING, INC. | CBOE TRADING, INC.

CRD#: 136734 / SEC#: , 8-67043

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

6800 West 115th Street Suite 260, Overland Park, KS 66211

Mailing Address

6800 West 115th Street Suite 260, Overland Park, KS 66211

Phone number

(913) 815-7000

Established

Delaware since 06/16/2005

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CBOE SERVICES COMPANY	OWNER
CHMIELEWSKI, COLE MICHAEL	PRESIDENT	5740206
GOODMAN, SYDNEY LINDEN	FINOP	7092589
ISAACSON, CHRISTOPHER ANDREW	DIRECTOR	5015729
SEXTON, JOHN PATRICK	SECRETARY	7152089
UPP, WILLIAM BRYAN	CHIEF COMPLIANCE OFFICER	2976682
WILKINSON, ALLEN LLOYD	VICE PRESIDENT	7432624
YEAZEL, TROY CHARLES	DIRECTOR	5492474

Disclosures

Regulatory Event

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

Jonathan C. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Charles Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

IVY DISTRIBUTORS, INC.

WADDELL & REED

TD AMERITRADE, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/2017

Series 99TO

Date: 11/22/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/24/2017

Series 51

Date: 6/27/2020

Series 24

Date: 10/8/2018

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq BX, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

CBOE TRADING, INC.

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CBOE TRADING, INC.

TRUST BUT VERIFY

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