Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Baker is a financial professional with over 15 years of experience in the financial services industry. Diane currently works with Nylife Securities LLC, where she has been registered since August 2021. Diane has held prior positions with firms including Ameriprise Financial Services, Inc. and Wachovia Securities, LLC.
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.
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.
1
2
CA
08/17/2021 - Present
Nylife Securities LLC (SAN FRANCISCO CA)
CA
10/26/2017 - 02/27/2019
AMERIPRISE FINANCIAL SERVICES, INC. (REDWOOD CITY CA)
CA
04/16/2013 - 10/13/2017
NYLIFE SECURITIES LLC (SAN FRANCISCO CA)
CA
12/15/2010 - 02/15/2013
NYLIFE SECURITIES LLC (SAN JOSE CA)
CA
08/30/2005 - 07/31/2008
WACHOVIA SECURITIES, LLC (EAST PALO ALTO CA)
NY
11/29/2001 - 08/24/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NA
05/24/1990 - 06/22/1990
FIRST OHIO SECURITIES COMPANY
NA
05/25/1988 - 06/03/1988
MCDONALD & COMPANY SECURITIES, INC.
BC
Issued 05/18/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/28/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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