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Detailed Report
Stanford D Baer
STANFORD DAVID BAER
CRD#: 2971918
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2004 (2 years)2 FIRMS2004 - 2008 (4 years)2 FIRMS2008 - Present (16 years)BWELLS FARGO BROKERAGE SERVICES... (CRD# 16100)2003 - 2003 (<1 year)BWELLS FARGO SECURITIES INC. (CRD# 17438)1997 - 2001 (3 years)
Disclosure(s)
View By:
10/18/2009
Customer Dispute
Closed-No Action
6/21/2004
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 7/1/2008
B
New Jersey 11/12/2020
B
California 7/1/2008
B
New Mexico 1/6/2012
IA
California 7/1/2008
B
New York 7/1/2008
B
Florida 3/4/2011
B
North Carolina 4/5/2023
B
Idaho 9/13/2022
B
Ohio 4/17/2014
B
Illinois 7/1/2008
B
Oregon 7/1/2008
B
Indiana 7/22/2008
B
Texas 7/1/2008
B
Massachusetts 11/3/2023
IA
Texas 7/1/2008
B
Nevada 2/8/2012
B
Washington 7/1/2008

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 7/1/2008
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 7/1/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/16/2004 - 07/11/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) PASADENA, CA
B
 04/16/2004 - 07/11/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) PASADENA, CA
IA
 05/15/2001 - 04/19/2004 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PASADENA, CA
B
 05/02/2001 - 04/19/2004 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 04/03/2003 - 12/31/2003 WELLS FARGO BROKERAGE SERVICES, L.L.C. (CRD#:16100) MINNEAPOLIS, MN
B
 11/28/1997 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.