Arthur G. 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.
Arthur George Baker, who also goes by Art George Baker Jr., Arthur George Baker Jr, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1978. Arthur had worked at 10 firms and has passed the Series 63, Series 3, Series 7, Series 53, Series 4, Series 27 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
February 24, 2012 - March 13, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 10, 2004 - May 5, 2010
BUCKMAN, BUCKMAN & REID, INC.
July 20, 1998 - August 11, 2004
FIRST MONTAUK SECURITIES CORP.
October 7, 1991 - September 30, 1998
INVESTMENT MONITOR, INC.
November 15, 1989 - January 8, 1992
PRUDENTIAL EQUITY GROUP, LLC
January 8, 1986 - December 5, 1989
LEHMAN BROTHERS INC.
February 7, 1985 - December 12, 1985
MUTUAL SERVICE CORPORATION
September 16, 1983 - September 24, 1984
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 30, 1981 - October 9, 1984
CARDELL & ASSOCIATES, INCORPORATED
April 24, 1978 - July 18, 1979
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
