Charles E. 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.
Charles Ernest Baker, who also goes by Charles E Baker, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1976. Charles had worked at 10 firms and has passed the Series 63, Series 5, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2010 - December 31, 2022
TIDAL ASSET MANAGEMENT, INC.
January 7, 2009 - March 29, 2010
THE ERSKINE COMPANY
June 7, 2004 - September 29, 2005
FIRST MONTAUK SECURITIES CORP.
June 4, 2001 - July 3, 2002
AUGMENT SECURITIES INC.
July 31, 1993 - June 12, 2001
CITIGROUP GLOBAL MARKETS INC.
September 8, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
July 17, 1989 - September 9, 1992
MORGAN STANLEY DW INC.
June 13, 1979 - August 23, 1989
KIDDER, PEABODY & CO. INCORPORATED
April 4, 1978 - March 26, 1979
BLUNT ELLIS & LOEWI INCORPORATED
March 2, 1976 - April 4, 1978
LOEWI & CO., INCORPORATED
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
Series 5
Date: 10/29/1981
Interest Rate Options ExaminationPC
Date: 8/12/1977
AMEX Put and Call ExamCurrent Firm
TIDAL ASSET MANAGEMENT, INC.
CRD#: 153174 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 300,000 |
Red Flags
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