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Maria-Carmen D Baker

Morgan Stanley

New York, NY

CRD 5300157

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Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

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

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

Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-16
NJ RA APPROVED 2014-01-13
  • NY RA
    APPROVED
    Since 2021-06-16
  • NJ RA
    APPROVED
    Since 2014-01-13

Branch Locations

55 East 52Nd Street 12Th Floor, New York, NY 10055 • 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
OrganizationCityStateFromTo
Morgan Stanley New York NY 01/2014 Present
Previous Registrations
  • 2012-02-01 → 2014-01-28
    Barclays Capital Inc.
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-01-31
S63 Uniform Securities Agent State Law Examination 2010-12-14
  • S65 Uniform Investment Adviser Law Examination
    2012-01-31
  • S63 Uniform Securities Agent State Law Examination
    2010-12-14
Other Names
  • Maria-Carmen D. Baker
  • Carmen D Baker
  • Maria Del Carmen Dominguez Baker
  • Mariadelcarmen D Baker
  • Maria-Carmen Baker

View on SEC IAPD

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