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 with over 25 years of experience in the financial services industry. Currently, John is an active advisor with Wells Fargo Clearing Services, LLC, based in the Danbury, CT branch office. John also has a background as a financial advisor with TD Ameritrade, Inc., ScotTrade, Inc., E*TRADE Securities LLC, Charles Schwab & Co., Inc., TD Waterhouse Investor Services, Inc., Dean Witter Reynolds Inc., and J. B. Hanauer & Co. John is licensed and registered as a Broker/Dealer and Investment Advisor in multiple states across the country.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CT
03/27/2023 - Present
Wells Fargo Clearing Services, LLC (DANBURY CT)
NY
05/10/2017 - 05/13/2019
TD AMERITRADE, INC. (SCARSDALE NY)
NY
05/27/2014 - 05/11/2017
SCOTTRADE, INC. (FISHKILL NY)
NY
06/25/2012 - 05/19/2014
E*TRADE SECURITIES LLC (SCARSDALE NY)
NY
04/13/2006 - 05/08/2012
CHARLES SCHWAB & CO., INC. (SCARSDALE NY)
NY
05/14/1998 - 03/27/2006
TD WATERHOUSE INVESTOR SERVICES, INC. (SCARSDALE NY)
NY
05/16/1997 - 03/26/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NJ
01/10/1997 - 05/28/1997
J. B. HANAUER & CO. (PARSIPPANY NJ)
BOTH
Issued 09/02/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/16/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/14/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/26/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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