Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Baker is a financial advisor in Houston, Texas. John has been a registered representative for over 40 years and holds a Series 7, Series 52, Series 24, and Series 28 licenses. John currently works at SP Securities LLC. John has previously worked for Stern Brothers & Co., Woodrock Securities, L.P., Abshiser Webb Donnelly & Baker, Inc., Thornhill Securities, Inc., HFBE Capital, LP, American Express Financial Advisors Inc., IDS Life Insurance Company, Baker Kreft Securities, L.L.C., Morgan Keegan & Company, Inc., Stephens Inc., BANC ONE Capital Corporation, M. E. Allison & Co., Inc., E. F. Hutton & Company Inc, and Rauscher Pierce Refsnes, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
TX
01/05/2017 - Present
SP Securities LLC (HOUSTON TX)
TX
05/21/2013 - 12/19/2016
STERN BROTHERS & CO. (HOUSTON TX)
TX
08/18/2009 - 06/03/2013
WOODROCK SECURITIES, L.P. (HOUSTON TX)
TX
06/05/2007 - 08/12/2009
ABSHIER WEBB DONNELLY & BAKER, INC. (HOUSTON TX)
TX
02/16/2005 - 06/12/2006
THORNHILL SECURITIES, INC. (AUSTIN TX)
MI
05/18/2004 - 02/02/2005
HFBE CAPITAL, LP (BIRMINGHAM MI)
MN
04/11/2003 - 03/16/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
04/11/2003 - 03/16/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
TX
01/12/1998 - 11/07/2001
BAKER KREFT SECURITIES, L.L.C. (HOUSTON TX)
TN
05/09/1994 - 10/19/1995
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
AR
07/27/1993 - 05/09/1994
STEPHENS INC. (LITTLE ROCK AR)
OH
02/25/1992 - 06/02/1992
BANC ONE CAPITAL CORPORATION (COLUMBUS OH)
TX
05/09/1988 - 03/09/1992
M. E. ALLISON & CO., INC. (SAN ANTONIO TX)
NA
06/04/1984 - 02/11/1988
E. F. HUTTON & COMPANY INC
NA
07/18/1983 - 04/23/1984
RAUSCHER PIERCE REFSNES, INC.
NA
09/26/1977 - 11/01/1983
UNDERWOOD, NEUHAUS & CO., INCORPORATED
BOTH
Issued 04/18/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 07/31/2008
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1982
Series 7 - General Securities Representative Examination
BC
Issued 03/09/1979
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
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