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CB

Cole J. Baker

PURSHE KAPLAN STERLING INVESTMENTS
Cerritos, CA 90703
CRD#: 8175843
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CB
Cole Joseph BakerPURSHE KAPLAN STERLING INVESTMENTS

Professional summary

Cole Joseph Baker, who also goes by C.j. Baker, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Cerritos, California.

Cole is registered as a RR (Registered Representative) and started their career in finance in 2026. Cole has worked at 1 firm and has passed the Series 7TO and SIE exams.

Aliases

C.j. Baker

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 Cole Joseph Baker's CRS (Customer Relationship Summary).
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

May 18, 2026 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 17215 Studebaker Rd Suite 395, Cerritos, CA 90703
BD
CRD#: 35747
Cerritos, CA

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

General Industry/Product Exam
RR
Series 7TO
Date: 5/16/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/17/2025
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

Red Flags

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Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747Cerritos, CA 90703

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