Michael S. Baldock
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.
Michael Shaun Baldock was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 8 firms and has passed the Series 63, SIE, 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
April 29, 2011 - January 29, 2020
ONDRA PARTNERS LP
August 3, 2004 - November 15, 2007
HSBC SECURITIES (USA) INC.
June 28, 2000 - July 7, 2004
LAZARD FRERES & CO. LLC
June 29, 1998 - July 31, 1998
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
June 3, 1996 - September 2, 1997
SBC WARBURG, INC.
September 28, 1995 - June 3, 1996
S.G. WARBURG & CO. INC.
September 12, 1995 - September 29, 1995
SALOMON BROTHERS INC.
December 14, 1990 - August 9, 1995
S.G. WARBURG & CO. INC.
State Registrations and Notice Filings
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Exams
Current Firm
ONDRA PARTNERS LP
CRD#: 155106 / SEC#: , 8-68696
Contact information
Documents
Red Flags
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