Christopher P. 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.
Christopher Perry Baker, who also goes by Chris Baker, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1978. Christopher had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 15, Series 7, Series 27, 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 28, 1990 - December 22, 2014
C.P. BAKER SECURITIES INCORPORATED
October 24, 1988 - September 28, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 7, 1986 - November 10, 1988
JSC SECURITIES, INC.
April 18, 1984 - August 1, 1986
MOSELEY SECURITIES CORPORATION
August 19, 1983 - July 25, 1984
GLENHAVEN PARTNERS
March 3, 1982 - March 24, 1983
CLG INVESTMENT COMPANY, INC.
February 19, 1981 - November 5, 1981
GOLDMAN SACHS & CO. LLC
November 27, 1978 - February 13, 1981
PERSHING LLC
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 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamSeries 15
Date: 4/20/1988
Foreign Currency Options ExaminationCurrent Firm
C.P. BAKER SECURITIES INCORPORATED
CRD#: 26233 / SEC#: , 8-42430
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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