Inactive

David Robert Baker

93 Financial Group, LLC

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Current Employers

93 Financial Group, Llc

600 Unicorn Park Drive, Woburn, MA 01801 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2018-04-13

MA RA
APPROVED

Since 2018-04-13

Branch Locations

600 Unicorn Park Drive, Woburn, MA 01801 • 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

Organization	City	State	From	To
Raymond James Financial Services, Inc.	Chelmsford	MA	08/2016	03/2018
Raymond James Financial Services Advisors, Inc.	Chelmsford	MA	08/2016	03/2018
93 Financial Group, Llc	Woburn	MA	03/2018	Present
Metro Financial Services	Chelmsford	MA	08/2016	03/2018

08/2016 → 03/2018

Raymond James Financial Services, Inc.

Chelmsford, MA
08/2016 → 03/2018

Raymond James Financial Services Advisors, Inc.

Chelmsford, MA
03/2018 → Present

93 Financial Group, Llc

Woburn, MA
08/2016 → 03/2018

Metro Financial Services

Chelmsford, MA

Previous Registrations

2016-08-29 → 2018-03-12

Raymond James Financial Services Advisors, Inc

Chelmsford, MA
2014-12-03 → 2016-08-11

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, RI

Riverside, RI
2013-06-03 → 2014-10-10

Voya Financial Advisors, Inc.

Braintree, MA
2011-08-17 → 2012-08-20

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Waltham, MA

Wayland, MA

New York, NY

Wayland, MA

Needham, MA

Needham, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-03-15
S63	Uniform Securities Agent State Law Examination	2000-03-28

S65 Uniform Investment Adviser Law Examination

2011-03-15
S63 Uniform Securities Agent State Law Examination

2000-03-28

Other Names

David Robert Baker
David Baker
David R. Baker

View on SEC IAPD

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STONEX ADVISORS INC.

J.P. MORGAN SECURITIES LLC

BORA CAPITAL, LLC

SAVANT WEALTH MANAGEMENT

RIVERSIDE ADVISORS, INC

Other Investors

MARY ELIZABETH FAHEY

STEPHEN JOSEPH COLLINS

PAUL JOSEPH SAUERBRUNN

SHERYL HEIDI WEIN

ANDREW JAMES HOLT

DONNA MARIE DENONCOURT

Brian Patrick Darcy

Other Offices

SINGLE TRACK FINANCIAL, INC. · WOBURN, MA

LPL FINANCIAL LLC · WOBURN, MA

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WOBURN, MA

STONEX ADVISORS INC. · Woburn, MA

J.P. MORGAN SECURITIES LLC · Woburn, MA

BORA CAPITAL, LLC · WOBURN, MA

SAVANT WEALTH MANAGEMENT · Woburn, MA

RIVERSIDE ADVISORS, INC · Woburn, MA

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