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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Baker has been in the financial services industry since July 1984. Stephen is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Alabama and Texas and holds Series 63, 65, 7, and SIE licenses. Stephen has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 1984. Stephen has a strong history of working with individuals, high-net-worth individuals, corporations, insurance companies, charitable organizations, and pension and profit-sharing plans. Stephen provides a wide range of financial services to clients, including portfolio management for individuals and businesses, selection of other advisors, pension consulting, and educational seminars.
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
AL
06/17/1997 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FAIRHOPE AL)
IA
Issued 02/24/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/11/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1984
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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