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Michael J. Baek

Some features on this profile are disabled
CRD#: 2090023
MB

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 J Baek was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 17, 2015 - May 12, 2016

AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC

BD
CRD#: 157767
New York, NY
Past

October 5, 2006 - August 31, 2015

FPCM SECURITIES, LLC

BD
CRD#: 38283
NEW YORK, NY
Past

January 17, 1997 - April 25, 2002

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

September 14, 1990 - September 12, 1994

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/10/2005
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/12/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/4/2006
General Securities Representative Examination

Current Firm

AG
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC

CRD#: 157767 / SEC#: , 8-68860

BD
Terminated by SEC on 11/13/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/08/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AIG GLOBAL ASSET MANAGEMENT HOLDINGS CORPMEMBER
CHAMPION, JARED MICHAELPRESIDENT/DIRECTOR2553443
MOYNIHAN, BRENDANCEO/DIRECTOR4363907
PHO, ERICCHIEF COMPLIANCE OFFICER6268365
WALSH, DANIEL ROBERT JRCFO/COO6914336

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.

Company Information

AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC

CRD#: 157767

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