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Chris Baker

Northern Trust Securities, Inc.

Chicago, IL

San Diego, CA

Cardiff, CA

Tucson, AZ

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Current Employers
Northern Trust Securities, Inc.

333 S. Wabash Avenue 34Th Floor, Chicago, IL 60604 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-11-13
  • CA RA
    APPROVED
    Since 2025-11-13

Branch Locations

50 South Lasalle, Chicago, IL 60603 • United States

4747 Executive Drive, San Diego, CA 92122 • United States

Cardiff, CA • United States

3450 E. Sunrise Drive Suite 100, Tucson, AZ 85718 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Diego CA 04/2012 10/2025
Bank Of America, N.A. San Diego CA 08/2015 10/2025
Northern Trust Securities, Inc. San Diego CA 11/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-10-05
  • S66 Uniform Combined State Law Examination
    2012-10-05
Other Names
  • Kit Baker
  • Christopher W Baker

View on SEC IAPD

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BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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