john d. 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.
john dewayne baker, who also goes by John Dewayne Baker, John Baker, was a registered financial professional .
john is a previously registered financial professional and started their career in finance in 1980. john had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2020 - May 1, 2025
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
March 2, 2020 - May 1, 2025
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
March 2, 2020 - May 16, 2025
LPL FINANCIAL LLC
November 28, 2007 - March 6, 2020
BPU INVESTMENT MANAGEMENT INC.
November 28, 2007 - March 6, 2020
BPU INVESTMENT MANAGEMENT INC.
June 25, 2005 - November 26, 2007
JANNEY MONTGOMERY SCOTT LLC
June 25, 2005 - November 26, 2007
JANNEY MONTGOMERY SCOTT LLC
April 18, 2005 - June 25, 2005
PARKER/HUNTER INCORPORATED
March 30, 1995 - June 25, 2005
PARKER/HUNTER INCORPORATED
October 7, 1993 - March 29, 1995
EDWARD JONES
July 18, 1983 - July 29, 1985
FORESTERS FINANCIAL SERVICES, INC.
August 19, 1980 - January 3, 1983
WADDELL & REED
February 22, 1980 - September 25, 1980
FINANCIAL ESTATE PLANNING, 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
Current Firm
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
CRD#: 130139 / SEC#: , 8-66305
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEALTH ENHANCEMENT GROUP, LLC | OWNER | |
| CAHN, JAMES LOREN | VICE PRESIDENT | 6052512 |
| CAIN, STEPHANIE M | HEAD OF SUPERVISION | 4081085 |
| CLARK, LISA LYNN | OPERATIONS OFFICER | 2271616 |
| DEKKO, JEFFREY THOMAS HAROLD | VICE PRESIDENT | 4648018 |
| DIECKHAUS, JOSEPH ALAN | CHIEF COMPLIANCE OFFICER | 5374613 |
| FURCHT, ELIZABETH ANN | SECRETARY | 5778785 |
| WINDORSKI, KELLY JOSEPH | CHIEF MANAGER AND CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, TREASURER, AND FINANCIAL OPERATIONS PRINCIPAL | 3211118 |
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.
