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Ellen Snibbe Baker

Pickwick Capital Partners, LLC

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About Ellen Snibbe Baker

Ellen Snibbe Baker is a financial advisor with Pickwick Capital Partners, LLC. Ellen is a licensed and registered professional who has been in the financial services industry since 1995. Ellen has a broad range of experience, including experience with firms such as MML Investors Services, Inc., Park Avenue Securities LLC, and Commerce Capital Markets, Inc. She holds multiple FINRA Series licenses and has passed several state examinations.

Firm Information

Ellen Baker is currently registered with Pickwick Capital Partners, LLC. Pickwick Capital Partners, LLC is a Limited Liability Company formed in August 2007. The firm is registered with the SEC and 43 states.

Not reported

Assets Under Management

Not reported

Total Clients

107

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Ellen Baker’s Registration & Firm History

NY

05/24/2012 - Present

Pickwick Capital Partners, LLC (WHITE PLAINS NY)

NY

05/11/2010 - 12/16/2010

MML INVESTORS SERVICES, INC. (NEW YORK NY)

NY

01/06/2009 - 04/15/2010

PARK AVENUE SECURITIES LLC (NEW YORK NY)

NY

01/31/2005 - 12/11/2006

COMMERCE CAPITAL MARKETS, INC. (NEW YORK NY)

NY

09/05/1996 - 03/22/2004

MORGAN STANLEY DW INC. (PURCHASE NY)

NY

07/26/1994 - 03/14/1996

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

07/29/1991 - 09/03/1993

SBC GOVERNMENT SECURITIES INC (NEW YORK NY)

ME

08/18/1988 - 09/17/1990

TBC FUNDS DISTRIBUTOR, INC. (PORTLAND ME)

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Licenses & Designations

BOTH

Issued 05/12/2009

Series 66 - Uniform Combined State Law Examination

IA

Issued 10/10/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/13/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/24/1996

Series 31 - Futures Managed Funds Examination

BC

Issued 08/29/1994

Series 7 - General Securities Representative Examination

BC

Issued 08/15/1988

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ellen Snibbe Baker.
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