Melvin A. 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.
Melvin Allan Baer, who also goes by Melvin Allen Baer, was a registered financial professional .
Melvin is a previously registered financial professional and started their career in finance in 1969. Melvin had worked at 8 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 1994 - September 11, 2000
MORGAN STANLEY DW INC.
July 31, 1993 - July 20, 1994
CITIGROUP GLOBAL MARKETS INC.
February 4, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
July 10, 1984 - February 12, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 1984 - July 17, 1984
LEHMAN BROTHERS INC.
February 22, 1978 - June 26, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 24, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
March 28, 1974 - December 11, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 1, 1969 - July 26, 1974
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 1
Date: 3/23/1974
Registered Representative ExaminationSeries 00
Date: 5/16/1972
General Securities Principal ExaminationCurrent Firm
MORGAN STANLEY DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
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.
