Richard A Baker

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-01-30
NY	RA	APPROVED	2021-06-16
TX	RA	APPROVED_RES	2020-05-04
NJ	RA	APPROVED	2012-12-20

CA RA
APPROVED

Since 2024-01-30
NY RA
APPROVED

Since 2021-06-16
TX RA
APPROVED_RES

Since 2020-05-04
NJ RA
APPROVED

Since 2012-12-20

Branch Locations

1 New York Plaza, New York, NY 10004 • United States

Hasbrouck Heights, NJ • United States

1400 Page Mill Road, Palo Alto, CA 94304 • 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
Morgan Stanley Smith Barney Llc	New York	NY	11/2009	Present
E*Trade Securities, Llc	New York	NY	01/2022	Present

11/2009 → Present

Morgan Stanley Smith Barney Llc

New York, NY
01/2022 → Present

E*Trade Securities, Llc

New York, NY

Other Businesses

*576051 - Certified Equity Professional Institute of Santa Clara University; Investment Related - No; Santa Clara, California; Education; Member of the Curriculum Committee (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent);01/2024; During Business Hours: 2; After Business Hours: 0; Reviewing and designing the curriculum for the Equity Compensation Associate (ECA) and Certified Equity Professional (CEP) exams

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-12-19

S66 Uniform Combined State Law Examination

2012-12-19

Other Names

Richard Baker
Richard Allen Baker

View on SEC IAPD