Javier W. Baz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Javier W Baz, who also goes by Javier Wiechers Baz, Jorge Luciano Baz, was a registered financial professional .
Javier is a previously registered financial professional and started their career in finance in 1992. Javier had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2013 - February 14, 2014
SYNTRINSIC INVESTMENT COUNSEL, LLC.
May 23, 2012 - July 23, 2013
BCP SECURITIES, INC.
December 17, 2010 - January 12, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 2010 - January 12, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2008 - October 8, 2010
BCP SECURITIES, INC.
September 9, 2005 - December 20, 2006
CDK FINANCIAL SERVICES, LLC
February 18, 1994 - June 17, 2004
TCW FUNDS DISTRIBUTORS LLC
October 15, 1992 - November 24, 1993
CONDOR SECURITIES, INC.
May 27, 1992 - August 18, 1992
BCP SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SYNTRINSIC INVESTMENT COUNSEL, LLC.
CRD#: 147978 / SEC#: 801-69510
Contact information
Regulatory assets under management
| Total Number of Accounts | 438 |
| AUM (Assets Under Management) | $ 1,574,772,879 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/08/2023 | ||
| 11/14/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
