Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Garrett Baker is a financial advisor with Emerson Equity LLC. Stephen has over 10 years of experience in the financial services industry and holds both Series 7 and Series 63 licenses. Stephen has previously worked with International Assets Advisory, LLC, Cabot Lodge Securities LLC, SC Distributors, LLC, Cetera Advisor Networks LLC, Highland Capital Funds Distributor, Inc., Nexbank Securities Inc, Realty Capital Securities, LLC, Walton Securities, Inc., Planco Financial Services, LLC, and Citigroup Global Markets Inc. Stephen has experience working with a variety of clients including individuals, high net worth individuals, and pension and profit-sharing plans. Stephen specializes in financial planning, portfolio management, and insurance dedicated funds.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Management of private placement life insurance / insurance dedicated funds (single investor private funds)
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.
A percentage of the total value of assets under management is charged.
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CA
07/14/2021 - Present
Emerson Equity LLC (SAN MATEO CA)
CA
02/22/2021 - 06/23/2021
INTERNATIONAL ASSETS ADVISORY, LLC (NEWPORT BEACH CA)
AZ
09/04/2020 - 03/09/2021
CABOT LODGE SECURITIES LLC (Scottsdale AZ)
CA
07/26/2019 - 06/20/2020
SC DISTRIBUTORS, LLC (NEWPORT BEACH CA)
CA
04/18/2019 - 08/13/2019
CETERA ADVISOR NETWORKS LLC (EL SEGUNDO CA)
TX
06/01/2016 - 04/21/2017
HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC. (DALLAS TX)
TX
02/10/2016 - 06/08/2016
NEXBANK SECURITIES INC (DALLAS TX)
NY
08/15/2012 - 02/17/2015
REALTY CAPITAL SECURITIES, LLC (NEW YORK CITY NY)
AZ
05/07/2010 - 04/14/2011
WALTON SECURITIES, INC. (SCOTTSDALE AZ)
CT
09/14/2006 - 12/15/2008
PLANCO FINANCIAL SERVICES, LLC (HARTFORD CT)
MA
09/09/2005 - 09/19/2006
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
IA
Issued 10/28/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/18/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/21/2017
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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