Inactive

William Matthew Baker

W.M. Baker Investments LLC

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Current Employers

W.M. Baker Investments Llc

Dublin, OH • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2012-07-19
OH	RA	APPROVED	2012-07-18

TX RA
APPROVED_RES

Since 2012-07-19
OH RA
APPROVED

Since 2012-07-18

Branch Locations

Dublin, OH • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
W.M. Baker Investments Llc	Columbus	OH	07/2012	Present

07/2012 → Present

W.M. Baker Investments Llc

Columbus, OH

Previous Registrations

2011-12-19 → 2012-07-26

Trafalgar Wealth Management, Llc

Dublin, OH
2007-05-30 → 2011-09-15

Ameriprise Financial Services, Llc

Columbus, OH

Columbus, OH

Dublin, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-03-06

S65 Uniform Investment Adviser Law Examination

2012-03-06

View on SEC IAPD

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