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Thomas R. Baker

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CRD#: 859851
TB

Professional summary

Thomas Rushton Baker was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Thomas had worked at 3 firms, which includes SUMA SECURITIES LLC, AMERICAN WEALTH MANAGEMENT INC., MARION BASS SECURITIES CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Baker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 3, 1996 - June 5, 1997

SUMA SECURITIES, LLC

BD
CRD#: 35852
ATLANTA, GA
Past

April 6, 1993 - September 14, 1994

AMERICAN WEALTH MANAGEMENT, INC.

BD
CRD#: 25536
ALPHARETTA, GA
Past

August 4, 1992 - March 20, 1993

MARION BASS SECURITIES CORPORATION

BD
CRD#: 7961
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/1/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 7/23/1992
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/1992
General Securities Representative Examination

Current Firm

SS
SUMA SECURITIES, LLC
JAMES, ALAN & CO., INC. | SUMA SECURITIES, LLC | PARADIGM WESTON SECURITIES, INC. | PARADIGM SECURITIES, LLC | PARADIGM SECURITIES, INC.

CRD#: 35852 / SEC#: , 8-46939

BD
Terminated by SEC on 07/15/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/05/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SHACKELFORD, FRANK CHRISTOPHERMEMBER1853301
SUMA INVESTMENT ASSOCIATES, LLC.MANAGING MEMBER
NATBONY, MICHAEL ALANMEMBER
KONITS, DAVID MATTHEWMANAGING PRINCIPAL, CCO, GP,ROP,MP2531617
SCHIRBER, GREG CHARLESFINOP1598966

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.

Company Information

SUMA SECURITIES, LLC

CRD#: 35852

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