Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-10-14
CA RA APPROVED 2020-09-29
  • TX RA
    APPROVED_RES
    Since 2020-10-14
  • CA RA
    APPROVED
    Since 2020-09-29

Branch Locations

2555-2595 W Chandler Blvd Ci Client Management, Chandler, AZ 85224 • United States

Disclosures

1 disclosure category 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 No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Phoenix AZ 09/2017 05/2019
Alorica Mesa AZ 01/2017 09/2017
Alorica Mesa AZ 07/2012 01/2017
Mesa Community College Gilbert AZ 08/2013 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler AZ 07/2019 Present
Bank Of America, N.A. Chandler AZ 09/2020 Present
  • 09/2017 → 05/2019
    Charles Schwab & Co., Inc.
    Phoenix, AZ
  • 01/2017 → 09/2017
    Alorica
    Mesa, AZ
  • 07/2012 → 01/2017
    Alorica
    Mesa, AZ
  • 08/2013 → Present
    Mesa Community College
    Gilbert, AZ
  • 07/2019 → Present
    Chandler, AZ
  • 09/2020 → Present
    Bank Of America, N.A.
    Chandler, AZ
Other Businesses

I*133069 For profit or not for profit: For-Profit Organization Name of outside business organization: Uber Investment related: N Address of business: TEMPE, Arizona 85282 Nature of business: Corporation Position, title, association: Part-Time, Start date of relationship: 9/12/2020 Number of hours devoted: 40 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Delivering food and/or rides to customers. I*1141274 For profit or not for profit: Entity For Profit Name of outside business organization: Rooke LLC Investment related: N Address of business: Scottsdale, Arizona, 85251 Nature of business: ["Corporation"] Position, title, association: ["Employee"], Start date of relationship: 1/13/2023 Number of hours devoted: 4 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , Security Guard

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-09-25
S63 Uniform Securities Agent State Law Examination 2018-02-23
  • S66 Uniform Combined State Law Examination
    2020-09-25
  • S63 Uniform Securities Agent State Law Examination
    2018-02-23
Other Names
  • Shannon B Baker

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Chandler, AZ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor