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John Francis Baker

Northwestern Mutual Investment Services, LLC

West Hartford, CT

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Current Employers
Northwestern Mutual Investment Services, Llc

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2004-03-16
  • CT RA
    APPROVED
    Since 2004-03-16

Branch Locations

29 S Main St Ste 201, West Hartford, CT 06107-2454 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Gino'S Pizza East Hartford CT 04/1989 Present
Northwestern Mutual Investment Services, Llc Bloomfield CT 11/2002 Present
Randall G. Riley Bloomfield CT 11/2002 Present
Northwestern Mutual Investment Services, Llc Bloomfield CT 03/2004 Present
Previous Registrations
  • 2001-05-01 → 2002-11-07
    Tower Square Securities, Inc.
    Hartford, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-02
S63 Uniform Securities Agent State Law Examination 1999-03-17
  • S66 Uniform Combined State Law Examination
    2001-01-02
  • S63 Uniform Securities Agent State Law Examination
    1999-03-17
Other Names
  • John Francis Baker
  • John Frances Baker

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC · WEST HARTFORD, CT
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