Jean Baker, financial advisor Bangor ME
83 score

Jean Baker

CRD Number: 1303699
Current Firm: Morgan Stanley

Jean Baker (CRD# 1303699) is an Investment Advisor Representative working at Morgan Stanley in Bangor, ME and has over 21 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Smith Barney Bangor, ME Jun 2009 - Current 7
Ubs Financial Services Inc. Bangor, ME Nov 2005 - Jun 2009 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1995
S66 NASAA Uniform Combined State Law Examination Sep 2005
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Jean A. Baker
Phone Number: 914-225-5510
Registered State(s):
  • ME
  • TX
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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