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MARIA DEL CARMEN BAEZ
M CARMEN BAEZ, MARIA D BAEZ, MARIA DEL CARMEN BAEZ
CRD#: 2406801
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 711 LOUISIANA STREET
15TH FLOOR
HOUSTON, TX 77002
Registration History
19952000200520102015202020252 FIRMS2001 - 2003 (2 years)2 FIRMS2003 - 2005 (1 year)2 FIRMS2005 - 2012 (7 years)2 FIRMS2012 - 2018 (5 years)2 FIRMS2018 - 2023 (5 years)2 FIRMS2024 - Present (1 year)BWELLS FARGO BROKERAGE SERVICES... (CRD# 16100)2001 - 2002 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 2001 (7 years)
License(s)

State Registrations

B
Texas 1/17/2024

IA
Texas 1/17/2024

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OPPENHEIMER & CO. INC. (CRD#:249)
711 LOUISIANA STREET 15TH FLOOR, HOUSTON, TX 77002
HOUSTON, TX
Registered with this firm since 1/17/2024

B
OPPENHEIMER & CO. INC. (CRD#:249)
711 LOUISIANA STREET 15TH FLOOR, HOUSTON, TX 77002
HOUSTON, TX
Registered with this firm since 1/17/2024

Previous Registration(s)
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IA
08/09/2018 - 12/22/2023 MORGAN STANLEY (CRD#:149777) Houston, TX
B
08/09/2018 - 12/22/2023 MORGAN STANLEY (CRD#:149777) Houston, TX
IA
10/01/2012 - 08/13/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) HOUSTON, TX
B
10/01/2012 - 08/13/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) HOUSTON, TX
IA
04/21/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
B
04/21/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
IA
06/20/2003 - 04/06/2005 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
B
06/20/2003 - 04/06/2005 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
IA
06/20/2001 - 09/25/2003 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) HOUSTON, TX
B
06/20/2001 - 09/25/2003 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
06/20/2001 - 08/14/2002 WELLS FARGO BROKERAGE SERVICES, L.L.C. (CRD#:16100) MINNEAPOLIS, MN
B
05/06/1994 - 06/12/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
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