Ellen S. Baker
Professional summary
Ellen Snibbe Baker, who also goes by Dede Baker, Ellen Lansdell Snibbe, is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.
Ellen is registered as a RR (Registered Representative) and started their career in finance in 1988. Ellen has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ellen Snibbe Baker's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 24, 2012 - Present
PICKWICK CAPITAL PARTNERS, LLC
Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601May 11, 2010 - December 16, 2010
MML INVESTORS SERVICES, LLC
May 28, 2009 - April 15, 2010
PARK AVENUE SECURITIES LLC
January 6, 2009 - April 15, 2010
PARK AVENUE SECURITIES LLC
February 1, 2005 - December 11, 2006
TD WEALTH MANAGEMENT SERVICES INC.
January 31, 2005 - December 11, 2006
TD WEALTH MANAGEMENT SERVICES INC.
January 3, 2003 - March 22, 2004
MORGAN STANLEY DW INC.
September 5, 1996 - March 22, 2004
MORGAN STANLEY DW INC.
July 26, 1994 - March 14, 1996
J.P. MORGAN SECURITIES LLC
July 29, 1991 - September 3, 1993
SBC WARBURG, INC.
August 18, 1988 - September 17, 1990
FUNDS DISTRIBUTOR, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/25/2024)
(2/22/2016)
(7/9/2019)
(5/24/2012)
(11/30/2022)
Exams
FINRA
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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