Keith Baier (CRD# 4403569) is an Investment Advisor Representative working at Moors & Cabot, Inc. in Ithaca, NY and has over 22 years of experience in the finance industry. Keith Baier has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 4176455
Morgan Stanley
CRD# 5929634
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 6729589
Merrill Lynch, Pierce, Fenner & Smith Incorporated
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Moors Cabot Inc. | Sarasota, FL | May 2022 - Current | 1 |
| Wells Fargo Clearing Services, LLC | Pittsford, NY | Nov 2016 - May 2022 | 5 |
| Wells Fargo Advisors LLC | Pittsford, NY | Feb 2012 - Nov 2016 | 4 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Aug 2001 |
| S65 | NASAA Investment Advisors Law Examination | Aug 2001 |
- NY
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Total Assets Under Management2,492MILLIONS
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Total Number of Accounts4,119ACCOUNTS
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Average Account Value$605,094
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