Matthew Baker, financial advisor Chandler AZ
81 score

Matthew Baker

CRD Number: 3084127
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Matthew Baker (CRD# 3084127) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Chandler, AZ and has over 10 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Chandler, AZ Jul 2014 - Current 2
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler, AZ Jun 2014 - Current 2
Caberra Temp Agency Chandler, AZ Apr 2014 - Jun 2014 < 1
Mutual Of Omaha Phoenix, AZ Dec 2012 - Apr 2014 1
Farmers Insurance Phoenix, AZ Aug 2012 - Dec 2012 < 1
Unemployed Fountain Hills, AZ Mar 2012 - Jul 2012 < 1
First Investors Corporation Phoenix, AZ Jan 2012 - Feb 2012 < 1
Cable One Phoenix, AZ Apr 2011 - Jan 2012 < 1
Unemployed Fountain Hills, AZ Mar 2010 - Apr 2011 1
The Vanguard Group Scottsdale, AZ Apr 2006 - Mar 2010 3
Vanguard Scottsdale, AZ Apr 2006 - Mar 2010 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2006
S66 NASAA Uniform Combined State Law Examination Aug 2014
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:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Matthew C. Baker
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, 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, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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