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Maria Del Carmen Baez

Oppenheimer & Co. Inc.

Houston, TX

Houston, TX

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-01-17
  • TX RA
    APPROVED
    Since 2024-01-17

Branch Locations

711 Louisiana Street 15Th Floor, Houston, TX 77002 • United States

Houston, TX • 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
J.P. Morgan Securities Llc Houston TX 10/2012 08/2018
Morgan Stanley Houston TX 08/2018 12/2023
Morgan Stanley Private Bank, N.A. New York NY 10/2018 12/2023
Oppenheimer & Co. Inc. Houston TX 01/2024 Present
Previous Registrations
  • 2018-08-09 → 2023-12-22
    Morgan Stanley
    Houston, TX
  • 2012-10-01 → 2018-08-13
    J.P. Morgan Securities Llc
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
  • 2005-04-21 → 2012-10-01
    Chase Investment Services Corp.
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
  • 2003-06-20 → 2005-04-06
    Chase Investment Services Corp.
    Houston, TX
  • 2001-06-20 → 2003-09-25
    Wells Fargo Investments, Llc
    Houston, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-01
S63 Uniform Securities Agent State Law Examination 1994-05-16
  • S65 Uniform Investment Adviser Law Examination
    1997-12-01
  • S63 Uniform Securities Agent State Law Examination
    1994-05-16
Other Names
  • Maria D Baez
  • Maria Del Carmen Baez
  • Maria Del Carmen Baez
  • Maria Del Carmen Baez
  • M Carmen Baez

View on SEC IAPD

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