Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Louise Baker is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 30 years of experience in the industry. Diane is a registered representative in Florida and Texas, and holds Series 3, 7, and 63 licenses. Diane is also a Series 65 licensed Investment Advisor Representative. Diane has worked at Smith Barney, Harris Upham & Co., Incorporated, Dean Witter Reynolds Inc., First Union Brokerage Services, Inc., and Olde & Co., Incorporated. Diane provides portfolio management services for individuals and businesses, as well as pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
03/19/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DELRAY BEACH FL)
NC
05/03/1993 - 12/15/1993
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
05/23/1991 - 05/11/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NY
07/28/1988 - 05/13/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NC
05/05/1988 - 12/06/1988
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NA
09/08/1986 - 09/24/1986
OLDE & CO., INCORPORATED
IA
Issued 10/04/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/31/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/1988
Series 3 - National Commodity Futures Examination
BC
Issued 06/21/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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