Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Dudley Baker is a financial advisor located in Dallas, Texas, with over 15 years of experience in the financial industry. Richard is registered with Houlihan Lokey Capital, Inc. Prior to joining Houlihan Lokey, Richard worked as a financial advisor at Canaccord Genuity LLC and Avondale Partners, LLC in Nashville, TN. Richard holds FINRA Series 7, 63, 79TO and SIE licenses and is currently registered in Tennessee and Texas.
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
01/16/2024 - Present
Houlihan Lokey Capital, Inc. (Dallas TX)
TN
06/05/2015 - 01/02/2024
CANACCORD GENUITY LLC (Nashville TN)
TN
11/16/2010 - 05/26/2015
AVONDALE PARTNERS, LLC (NASHVILLE TN)
TN
11/20/2007 - 11/15/2010
MORGAN JOSEPH LLC (NASHVILLE TN)
BC
Issued 12/28/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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