Jeffrey Baker is a registered investment advisor, based in Dallas, TX, with 19 years of industry experience.
Location
Dallas, TX
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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.
Learn about disclosures →Employment History
Current Registrations
First Trust Portfolios L.P.
December 2018 - Present · 7 yrs 7 mos
First Trust Portfolios L.P.Broker
December 2018 - Present · 7 yrs 7 mos
First Trust Advisors LP
December 2018 - Present · 7 yrs 7 mos
Previous Registrations
Brookmont Capital Management
August 2017 - December 2018 · 1 yr 4 mos
First Trust Advisors LP
July 2012 - June 2017 · 4 yrs 11 mos
First Trust Portfolios L.P.Broker
January 2011 - June 2017 · 6 yrs 5 mos
Goldman, Sachs & CO.Broker
January 2010 - February 2011 · 1 yr 1 mo
Van Kampen Funds INC.Broker
April 2006 - January 2010 · 3 yrs 9 mos
State Registrations12 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.