Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Baier is an investment advisor representative at Moors & Cabot, Inc., in Ithaca, New York. Keith has been in the securities industry since July 24, 2001. Keith is a Certified Financial Planner™ and holds the Series 7, Series 31, and Series 63 licenses. Keith also holds the Series 65 license. Keith has been registered with the Securities and Exchange Commission (SEC) since February 9, 2012, and has been registered with the Financial Industry Regulatory Authority (FINRA) since May 20, 2022. Keith has experience in portfolio management for individuals and businesses, financial planning, and pension consulting. Keith has worked with a variety of clients including individuals, high-net-worth individuals, charitable organizations, corporations, and pension and profit-sharing plans. Keith is committed to providing clients with personalized financial advice and services to help them achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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
NY
05/20/2022 - Present
Moors & Cabot, Inc. (Ithaca NY)
NY
02/09/2012 - 05/24/2022
WELLS FARGO CLEARING SERVICES, LLC (PITTSFORD NY)
NY
06/01/2009 - 02/16/2012
MORGAN STANLEY SMITH BARNEY (ROCHESTER NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ROCHESTER NY)
NY
07/25/2001 - 04/02/2007
MORGAN STANLEY DW INC. (ROCHESTER NY)
IA
Issued 08/31/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/03/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 07/24/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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