Carroll BakerCRD Number: 5051537
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Carroll Baker (CRD# 5051537) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Naples, FL and has over 15 years of experience in the finance industry.
Stifel, Nicolaus & Company, Incorporated
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Truist Advisory Services, Inc.
|Bank Of America, N.a.||Naples, FL||May 2018 - Current||3|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Naples, FL||Dec 2012 - Current||9|
|Edward Jones||Asheville, NC||Jun 2011 - Dec 2012||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 2005|
|S66||NASAA Uniform Combined State Law Examination||Mar 2013|
Total Assets Under Management1,084,544MILLIONS
Total Number of Accounts2,605,171ACCOUNTS
Average Account Value$416,304
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- 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)
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, WY
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