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Stanford D Baer

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sierra Madre, CA

Pasadena, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2008-07-22
CA RA APPROVED 2008-07-03
  • TX RA
    APPROVED_RES
    Since 2008-07-22
  • CA RA
    APPROVED
    Since 2008-07-03

Branch Locations

Sierra Madre, CA • United States

800 E Colorado Blvd, Pasadena, CA 91101 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Pasadena CA 07/2008 Present
Bank Of America, N.A. Pasadena CA 07/2011 Present
  • 07/2008 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Pasadena, CA
  • 07/2011 → Present
    Bank Of America, N.A.
    Pasadena, CA
Previous Registrations
  • 2004-04-16 → 2008-07-11
    Ubs Financial Services Inc.
    Pasadena, CA
    Pasadena, CA
  • 2001-05-15 → 2004-04-19
    Wells Fargo Investments, Llc
    Pasadena, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-02
S63 Uniform Securities Agent State Law Examination 1997-12-22
  • S65 Uniform Investment Adviser Law Examination
    1998-04-02
  • S63 Uniform Securities Agent State Law Examination
    1997-12-22
Other Names
  • Stanford David Baer

View on SEC IAPD

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