Simon D. Baier
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.
Simon Dominic Baier was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 1991. Simon had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 1993 - July 11, 1994
EURO-ATLANTIC SECURITIES INC.
April 26, 1993 - December 2, 1993
JOSEPH ROBERTS & CO., INC.
March 27, 1992 - April 28, 1993
EMANUEL AND COMPANY
October 31, 1991 - February 19, 1992
CHATFIELD DEAN & CO., 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
EURO-ATLANTIC SECURITIES INC.
CRD#: 21367 / SEC#: , 8-38870
Contact information
Documents
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.
