Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Bruce A Baker
BRUCE ALAN BAKER
CRD#: 2740254
IA
B
J.P. MORGAN SECURITIES LLCCRD#: 79 5900 MONROE HWY
BALL, LA 71405
BALL, LA 71405
View By:
9/19/2002
Customer Dispute
Closed-No Action
State Registrations
B
Arkansas 10/1/2012
B
Nevada 2/4/2025
B
California 10/1/2012
B
New Mexico 12/15/2024
B
Colorado 1/14/2025
B
North Carolina 10/1/2012
B
Georgia 7/14/2023
B
Ohio 12/2/2023
B
Louisiana 10/1/2012
B
Texas 10/1/2012
IA
Louisiana 10/1/2012
IA
Texas 9/20/2013
B
Mississippi 10/1/2012
B
Utah 10/1/2012
SRO Registrations
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/1/2012
B
Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/06/2005 - 10/01/2012 | BALL, LA | |
B | 07/06/2005 - 10/01/2012 | BALL, LA | |
IA | 01/10/2003 - 07/06/2005 | PINEVILLE, LA | |
B | 12/12/2002 - 07/06/2005 | CHICAGO, IL | |
IA | 08/21/2002 - 01/09/2003 | ALEXANDRIA, LA | |
B | 05/29/1996 - 01/09/2003 | NEW YORK, NY | |
B | 05/29/1996 - 01/05/2000 | NEW YORK, NY |
NEW YORK, NY
05/29/1996 - 01/05/2000
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.