James Baker is a registered investment advisor, based in Wyomissing, PA, with 17 years of industry experience.
Location
Wyomissing, PA
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Current Registrations
John Hancock Investment Management Distributors LLC
April 2021 - Present · 5 yrs 3 mos
John Hancock Investment Management Distributors LLCBroker
April 2021 - Present · 5 yrs 3 mos
John Hancock Investment Management LLC
November 2018 - Present · 7 yrs 8 mos
Previous Registrations
Manulife Asset Management (US) LLC
October 2018 - November 2018 · 1 mo
Knott Capital Management
October 2007 - June 2011 · 3 yrs 8 mos
John Hancock Advisers, LLC
August 2002 - April 2007 · 4 yrs 8 mos
Mfc Global Investment Management (U.S.), LLC
August 2002 - April 2007 · 4 yrs 8 mos
John Hancock Funds, LLCBroker
July 2002 - April 2007 · 4 yrs 9 mos
Legg Mason Wood Walker INC
May 2001 - July 2002 · 1 yr 2 mos
Legg Mason Wood Walker, IncorporatedBroker
January 2001 - July 2002 · 1 yr 6 mos
State Registrations52 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.