Alan C. Baer
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.
Alan Charles Baer was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1969. Alan had worked at 5 firms and has passed the Series 63, PC, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2005 - October 30, 2019
ALAN BAER INVESTMENT ADVISORY, LLC
July 8, 1997 - August 19, 2004
UBS FINANCIAL SERVICES INC.
January 28, 1995 - August 19, 2004
UBS FINANCIAL SERVICES INC.
January 23, 1976 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
January 23, 1976 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
May 5, 1969 - January 24, 1976
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 8/15/1977
AMEX Put and Call ExamSeries 1
Date: 4/24/1969
Registered Representative ExaminationSeries 12
Date: 3/1/1976
NYSE Branch Manager ExaminationCurrent Firm
ALAN BAER INVESTMENT ADVISORY, LLC
CRD#: 134069 / SEC#:
Contact information
Red Flags
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