Keith Baier

Current Employers

Moors & Cabot, Inc.

One Federal Street 19Th Floor, Boston, MA 02110 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2022-05-20

NY RA
APPROVED

Since 2022-05-20

Branch Locations

Ithaca, NY • United States

Seafoam Village 2800 Placida Rd Unit 103, Englewood, FL 34224 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Pittsford	NY	02/2012	11/2016
Wells Fargo Clearing Services, Llc	Pittsford	NY	11/2016	05/2022
Moors Cabot Inc	Sarasota	FL	05/2022	Present

02/2012 → 11/2016

Wells Fargo Advisors Llc

Pittsford, NY
11/2016 → 05/2022

Wells Fargo Clearing Services, Llc

Pittsford, NY
05/2022 → Present

Moors Cabot Inc

Sarasota, FL

Previous Registrations

2012-02-09 → 2022-05-24

Wells Fargo Clearing Services, Llc

Pittsford, NY
2009-06-01 → 2012-02-16

Morgan Stanley

Rochester, NY
2008-04-10 → 2009-06-01

Morgan Stanley & Co. Llc

Rochester, NY

Other Businesses

RENTAL PROPERTY, INV RELATED, ITHACA, NY, 50% OWNER OF RENTAL HOME, START: 8/2006, 4 HOURS PER MONTH/0 DURING TRADING, DUTIES: MAINTENANCE. RENTAL PROPERTY, INV RELATED, ITHACA, NY, 100% OWNERSHIP, START 5/1/2019, 8 HOURS PER MONTH, ZERO DURING TRADING, MAINTENANCE. Section IV New York State Schools, Basketball Referee, Sidney NY, Not Investment Related, Start Date 11/4/2024, 24 Hrs Per Month, 0 Hrs During Trading, Coach women's basketball.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-08-31
S63	Uniform Securities Agent State Law Examination	2001-08-03

S65 Uniform Investment Adviser Law Examination

2001-08-31
S63 Uniform Securities Agent State Law Examination

2001-08-03

Designations

Other Names

Keith A Baier
Keith Allin Baier

View on SEC IAPD