Diane L. Baker
Professional summary
Diane Lynne Baker, who also goes by Diane L Baker, is a registered financial professional currently at NYLIFE SECURITIES LLC located in San Francisco, California.
Diane is registered as a RR (Registered Representative) and started their career in finance in 1988. Diane has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Diane Lynne Baker's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2021 - Present
NYLIFE SECURITIES LLC
Office #1: 425 Market Street Suite 1600 1605, 1610, San Francisco, CA, 94105October 26, 2017 - February 27, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
April 16, 2013 - October 13, 2017
NYLIFE SECURITIES LLC
December 15, 2010 - February 15, 2013
NYLIFE SECURITIES LLC
August 30, 2005 - July 31, 2008
WELLS FARGO CLEARING SERVICES, LLC
November 29, 2001 - August 24, 2005
MORGAN STANLEY DW INC.
May 24, 1990 - June 22, 1990
FIRST OHIO SECURITIES COMPANY
May 25, 1988 - June 3, 1988
KEYBANC CAPITAL MARKETS 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
FINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
