KB
Keith A. Baier
MOORS & CABOT
Ithaca, NY
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CRD#: 4403569
KB
Professional summary
Keith Allin Baier, CFP®, who also goes by Keith A Baier, Keith Allin Baier, is a registered financial advisor currently at MOORS & CABOT, INC. located in Ithaca, New York.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Keith has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keith A Baier | Keith Allin Baier
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.
TOWNLEY HILL LLC, INV RELATED, TRAUMANSBURG, NY, START: 2012, 0 HOURS PER MONTH, DUTIES: PAY BILLS, ETC. RENTAL PROPERTY, INV RELATED, ITHACA, NY, 50% OWNER OF RENTAL HOME, START: 8/2006, 4 HOURS PER MONTH/0 DURING TRADING, DUTIES: MAINTENANCE. RENTAL PROPERTY, INV RELATED, ITHACA, NY, 100% OWNERSHIP, START 5/1/2019, 8 HOURS PER MONTH, ZERO DURING TRADING, MAINTENANCE. TC Hoops, NOT INVT RELATED, ITHACA NY, BASKETBALL COACH, START DATE 1/16/2020, 24 HRS PER MONTH, 0 HRS DURING TRADING, COACH YOUTH BASKETBALL. Section IV New York State Schools, Basketball Referee, Sidney NY, Not Investment Related, Start Date 11/4/2024, 24 Hrs Per Month, 0 Hrs During Trading, Coach women's basketball.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Allin Baier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith Allin Baier's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2005
Experience
Current
May 20, 2022 - Present
MOORS & CABOT, INC.
RIA
BD
CRD#: 594
Ithaca, NY
Current
May 20, 2022 - Present
MOORS & CABOT, INC.
Office #1: Seafoam Village 2800 Placida Rd Unit 103, Englewood, FL 34224RIA
BD
CRD#: 594
Englewood, FL
Past
February 9, 2012 - May 24, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PITTSFORD, NY
Past
February 9, 2012 - May 24, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PITTSFORD, NY
Past
June 1, 2009 - February 16, 2012
MORGAN STANLEY
RIA
CRD#: 149777
ROCHESTER, NY
Past
June 1, 2009 - February 16, 2012
MORGAN STANLEY
BD
CRD#: 149777
ROCHESTER, NY
Past
April 10, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ROCHESTER, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ROCHESTER, NY
Past
July 25, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ROCHESTER, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(5/20/2022)
RR
Illinois(2/28/2023)
RR
Massachusetts(5/20/2022)
RR
New York(5/20/2022)
IAR
New York(5/20/2022)
RR
North Carolina(5/20/2022)
RR
Pennsylvania(5/20/2022)
RR
Virginia(5/20/2022)
RR
Washington(6/6/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
