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Gregory Michael Baker

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Gregory Michael Baker

Gregory Baker is an active investment advisor representative, registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Gregory has been in the industry since August 1982. Gregory has been with Merrill Lynch since May 2008, and has held previous positions at Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Paine Webber Incorporated, Lehman Brothers Inc., E. F. Hutton & Company Inc., and FSC Securities Corporation. Gregory holds the following licenses and certifications: Series 7, Series 3, Series 63, Series 65 and SIE. Gregory specializes in offering various advisory services including portfolio management for individuals and businesses, selection of other advisors, and pension consulting. Gregory has also been involved in several other business activities outside of the advisory services.

Firm Information

Gregory Baker is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

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.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Gregory Baker’s Registration & Firm History

MD

05/11/2017 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (BETHESDA MD)

MD

04/02/2007 - 05/15/2008

MORGAN STANLEY & CO. INCORPORATED (POTOMAC MD)

MD

12/04/1998 - 04/02/2007

MORGAN STANLEY DW INC. (POTOMAC MD)

NJ

02/14/1992 - 01/04/1999

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

06/17/1985 - 03/05/1992

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

04/11/1983 - 06/17/1985

E. F. HUTTON & COMPANY INC

NA

08/26/1982 - 07/18/1983

FSC SECURITIES CORPORATION

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Licenses & Designations

IA

Issued 12/10/1991

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/30/1983

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/02/1984

Series 3 - National Commodity Futures Examination

BC

Issued 08/21/1982

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There is public disclosure for Gregory Michael Baker. Review regulatory record here.
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