Keith Baier

Employer firm

Moors & Cabot, Inc. CRD 594

$3.44B regulatory AUM 10 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• S65 Uniform Investment Adviser Law Examination
  2001-08-31
• S63 Uniform Securities Agent State Law Examination
  2001-08-03

Designations

• Certified Financial Planner

Other Names

• Keith A Baier
• Keith Allin Baier