Kenneth 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.
Kenneth E. Baker, who also goes by Kenneth E Baker, Kenneth Edward Baker, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1977. Kenneth had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2009 - May 1, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
February 22, 2006 - August 26, 2008
TSB SECURITIES, INC.
June 22, 2001 - November 1, 2004
SAMCO FINANCIAL SERVICES, INC.
June 22, 2001 - November 1, 2004
SAMCO FINANCIAL SERVICES, INC.
April 6, 2000 - August 3, 2001
SERVICE ASSET MANAGEMENT COMPANY
March 23, 2000 - September 7, 2000
PENSON FINANCIAL SERVICES, INC.
October 20, 1993 - March 22, 2000
MOMENTUM INDEPENDENT NETWORK INC.
March 30, 1984 - November 9, 1993
BANKERS TRANSACTION SERVICES, INC.
November 2, 1982 - June 29, 1989
HIMCO DISTRIBUTION SERVICES COMPANY
April 18, 1980 - January 15, 1984
UNDERWOOD, NEUHAUS & CO., INCORPORATED
February 22, 1980 - March 28, 1984
STRATEGIC DISTRIBUTORS, INC.
June 21, 1977 - March 9, 1979
MONY SECURITIES CORPORATION
June 21, 1977 - April 19, 1979
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
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 1
Date: 6/17/1977
Registered Representative ExaminationCurrent Firm
BBVA COMPASS INVESTMENT SOLUTIONS, INC
CRD#: 17086 / SEC#: , 8-34988
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMPASS BANK | OWNER OF COMPASS BROKERAGE, INC. | |
| BARRAZA, JUAN CARLOS | SENIOR VICE PRESIDENT | 2979487 |
| CARTEE, JOSEPH BYRON | ASSISTANT SECRETARY | |
| CHACONTISCARENO, HECTOR | DIRECTOR/CHAIRMAN OF THE BOARD/MANAGING DIR, INTERNATIONAL DIV | 2946609 |
| DELGADO, BERNARDO ALBERTO | VICE PRESIDENT | 2462176 |
| FIROZGARY, FARROKH MEHRBAN | SENIOR VICE PRESIDENT | 3263239 |
| GUERRERA, DARREN CYRIL | CFO/FINOP/VICE PRESIDENT | 2541120 |
| HAGEMANN, BRUCE ANDREW | DIRECTOR/PRESIDENT/CEO | 1922613 |
| HELMS, WILLIAM CHARLES | DIRECTOR | 4625212 |
| HERRICK, BRIAN R. | ASSISTANT SECRETARY | |
| HULVEY, DOROTHY J | COO | 5880903 |
| IBARRA, JORGE EDUARDO | SENIOR VICE PRESIDENT | 3079569 |
| KIRKNER, LORI VEREEN | VICE PRESIDENT | 1903977 |
| KNIGHT, WENDY SUSANNE | VICE PRESIDENT | 2539405 |
| LLANO, FRANCISCO MANUEL | SENIOR VICE PRESIDENT | 2751609 |
| MCMURRAY, LORIN JAMES | SENIOR VICE PRESIDENT/NATIONAL SALES MANAGER | 1719473 |
| MCROBERTS, KAREN LARSON | SENIOR VICE PRESIDENT | 2040152 |
| NEEL, DAVID SULLIVAN JR | SR. VICE PRESIDENT, CCO, SECRETARY, DIRECTOR | 1884109 |
| PRESSLEY, KIRK PAUL | TREASURER | 4714214 |
| RAMOS, MARIO A | ASSISTANT SECRETARY | |
| RODRIGUEZ, JOSE RAMON | SENIOR VICE PRESIDENT | 4392639 |
| SANCHEZ, JOAQUIN | SENIOR VICE PRESIDENT | 2708344 |
| SAWYER, JOHN EMERY IV | DIRECTOR | 2398228 |
| VIGUIER-GALLEY, ANNE-JOELLE NICOLE | SENIOR VICE PRESIDENT | 2764945 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
