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Detailed Report
Bret Baker
BRET WILLIAM BAKER
CRD#: 4251844
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1 Front Street
San Francisco, CA 94111
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2015 (9 years)2 FIRMS2023 - Present (1 year)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2015 - 2023 (7 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2003 - 2006 (2 years)BBANC OF AMERICA SECURITIES LLC (CRD# 26091)2000 - 2003 (2 years)IAJ.P. MORGAN PRIVATE WEALTH ADV... (CRD# 108559)2015 - 2025 (9 years)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Alabama 9/29/2023
B
Nebraska 9/29/2023
B
Alaska 9/29/2023
B
Nevada 9/29/2023
B
Arizona 9/29/2023
B
New Hampshire 9/29/2023
B
Arkansas 9/29/2023
B
New Jersey 9/29/2023
B
California 9/29/2023
B
New Mexico 9/29/2023
IA
California 11/20/2023
B
New York 9/29/2023
B
Colorado 9/29/2023
B
North Carolina 9/29/2023
B
Connecticut 9/29/2023
B
North Dakota 9/29/2023
B
Delaware 9/29/2023
B
Ohio 9/29/2023
B
District of Columbia 9/29/2023
B
Oklahoma 9/29/2023
B
Florida 9/29/2023
B
Oregon 9/29/2023
B
Georgia 9/29/2023
B
Pennsylvania 9/29/2023
B
Hawaii 9/29/2023
B
Puerto Rico 9/29/2023
B
Idaho 9/29/2023
B
Rhode Island 9/29/2023
B
Illinois 9/29/2023
B
South Carolina 9/29/2023
B
Indiana 9/29/2023
B
South Dakota 9/29/2023
B
Iowa 9/29/2023
B
Tennessee 9/29/2023
B
Kansas 9/29/2023
B
Texas 9/29/2023
B
Kentucky 9/29/2023
IA
Texas 11/27/2023
B
Louisiana 9/29/2023
B
Utah 9/29/2023
B
Maine 9/29/2023
B
Vermont 9/29/2023
B
Maryland 9/29/2023
B
Virgin Islands 11/20/2023
B
Massachusetts 9/29/2023
B
Virginia 9/29/2023
B
Michigan 9/29/2023
B
Washington 9/29/2023
B
Minnesota 9/29/2023
B
West Virginia 9/29/2023
B
Mississippi 9/29/2023
B
Wisconsin 9/29/2023
B
Missouri 9/29/2023
B
Wyoming 9/29/2023
B
Montana 9/29/2023

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
1 Front Street, San Francisco, CA 94111
Pleasant Hill, CA
Registered with this firm since 11/20/2023
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1 Front Street, San Francisco, CA 94111
Pleasant Hill, CA
Registered with this firm since 9/29/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/07/2015 - 03/20/2025 J.P. MORGAN PRIVATE WEALTH ADVISORS LLC (CRD#:108559) San Francisco, CA
B
 12/07/2015 - 09/29/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) San Francisco, CA
IA
 06/23/2006 - 12/21/2015 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) SAN FRANCISCO, CA
B
 06/23/2006 - 12/21/2015 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) SAN FRANCISCO, CA
IA
 02/08/2006 - 06/22/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN FRANCISCO, CA
B
 08/15/2003 - 06/22/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN FRANCISCO, CA
B
 09/22/2000 - 08/20/2003 BANC OF AMERICA SECURITIES LLC (CRD#:26091) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.