Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick Baker is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Rick has been in the financial services industry since December 13, 1990. Rick holds licenses in multiple states and has passed numerous industry exams, including the Series 3, Series 7, and Series 63. Rick also serves on the advisory board of The Stewart Foundation, a non-profit organization in Atlanta, Georgia. Merrill Lynch, Pierce, Fenner & Smith Inc. is a large financial services firm with a broad range of client types and services. The firm has regulatory assets under management of over $1.2 trillion. Rick is a valuable asset to the firm and its clients, and has a proven track record of success in the financial services industry.
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
GA
11/14/2005 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ATLANTA GA)
NY
08/28/1995 - 11/09/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
GA
12/14/1990 - 08/29/1995
THE ROBINSON-HUMPHREY COMPANY INC. (ATLANTA GA)
IA
Issued 05/26/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/15/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/1991
Series 3 - National Commodity Futures Examination
BC
Issued 12/12/1990
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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