Ted H. 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.
Ted Harrison Baker was a registered financial professional .
Ted is a previously registered financial professional and started their career in finance in 1977. Ted had worked at 6 firms and has passed the Series 63, Series 5, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2012 - July 8, 2014
VIEWTRADE SECURITIES, INC.
March 27, 2009 - August 5, 2011
TRIAD SECURITIES CORP
August 3, 2004 - May 5, 2005
PERSHING ADVISOR SOLUTIONS LLC
September 19, 2000 - August 7, 2001
PERSHING ADVISOR SOLUTIONS LLC
May 25, 1984 - May 5, 2005
PERSHING LLC
July 13, 1978 - September 28, 1984
BECKER PARIBAS INCORPORATED
July 26, 1977 - July 13, 1978
BECKER SECURITIES 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: 11/18/1981
Interest Rate Options ExaminationCurrent Firm
VIEWTRADE SECURITIES, INC.
CRD#: 46987 / SEC#: , 8-51605
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
