Michael E. Baker
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 E Baker, who also goes by Michael E Baker, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2023 - January 15, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 18, 2023 - January 15, 2025
FIDELITY BROKERAGE SERVICES LLC
November 17, 2021 - August 1, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2021 - August 1, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 2009 - March 5, 2013
GUARDIAN INVESTOR SERVICES LLC
October 10, 2008 - November 17, 2009
DOCENT FINANCIAL SERVICES, CORP.
March 30, 2005 - November 30, 2006
BOFA ADVISORS, LLC
October 21, 2004 - March 28, 2005
COLUMBIA MANAGEMENT ADVISORS, INC.
October 21, 2004 - November 30, 2006
BOFA DISTRIBUTORS, INC.
October 20, 2004 - October 28, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 28, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 29, 2003 - October 20, 2004
QUICK & REILLY, INC.
August 13, 2003 - October 20, 2004
QUICK & REILLY, INC.
January 11, 2002 - July 8, 2002
FIREFLY CAPITAL, INC.
November 30, 2000 - October 3, 2001
COMMONWEALTH FINANCIAL NETWORK
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
Series 7TO
Date: 9/15/2021
General Securities Representative ExaminationSeries 55
Date: 2/6/2002
Limited Representative-Equity Trader ExamCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
