William E. Baker
Professional summary
William Edward Baker is a registered financial professional currently at SAYBRUS EQUITY SERVICES, LLC located in Hartford, Connecticut.
William is registered as a RR (Registered Representative) and started their career in finance in 1980. William has worked at 10 firms and has passed the Series 63, Series 6TO, Series 22TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Edward Baker's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 15, 2010 - Present
SAYBRUS EQUITY SERVICES, LLC
Office #1: One American Row, Hartford, CT 06102February 4, 2009 - September 17, 2010
AXCELUS FINANCIAL DISTRIBUTION COMPANY
March 5, 2003 - February 4, 2009
VP DISTRIBUTORS LLC
June 26, 1995 - January 22, 2004
WS GRIFFITH SECURITIES, INC.
July 16, 1992 - June 23, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 16, 1992 - June 23, 1995
OSAIC FA, INC.
June 29, 1985 - June 2, 1992
PRINCIPAL SECURITIES, INC.
March 28, 1984 - March 28, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
October 27, 1982 - March 16, 1983
PRUCO SECURITIES, LLC.
June 4, 1980 - August 17, 1983
FORESTERS FINANCIAL SERVICES, 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
(9/15/2010)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 1
Date: 5/27/1980
Registered Representative ExaminationFINRA
Current Firm
SAYBRUS EQUITY SERVICES, LLC
CRD#: 153319 / SEC#: , 8-68521
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAYBRUS HOLDINGS, LLC | PARENT COMPANY | |
| ALI, AZIZ | VICE PRESIDENT | 5030560 |
| CASSIDY, EDWARD WILLIAM JR | EXEC. VP / INTERNAL DIRECTOR | 1606787 |
| COSTENBADER, WALTER RUSSELL | FINOP | 1828345 |
| HALPERIN, JEFFREY PAUL | INTERNAL DIRECTOR | 2899327 |
| LOWE, MOIRA CRONAN | PRESIDENT / CEO / INTERNAL DIRECTOR | 4076427 |
| MOORE, GIDEON CLOYES | CHIEF LEGAL OFFICER | 7011735 |
| SADOWSKI, ADAM MARK | ASSISTANT VICE PRESIDENT | 4578505 |
| SIINO, KATHERINE MARY | AVP & CHIEF COMPLIANCE OFFICER | 1666402 |
| TOMKO, CHRISTINE | CFO, PFO, POO | 6989991 |
| VIETRI, MICHAEL JOSEPH | INTERNAL DIRECTOR | 1068983 |
Red Flags
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