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Diane Louise Baker

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Delray Beach, FL

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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 2009-03-19
FL RA APPROVED 1994-01-07
  • TX RA
    APPROVED_RES
    Since 2009-03-19
  • FL RA
    APPROVED
    Since 1994-01-07

Branch Locations

601 E Atlantic Ave, Delray Beach, FL 33483 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Delray Beach FL 12/1993 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-10-04
S63 Uniform Securities Agent State Law Examination 1992-07-31
  • S65 Uniform Investment Adviser Law Examination
    1996-10-04
  • S63 Uniform Securities Agent State Law Examination
    1992-07-31
Other Names
  • Diane Blazier
  • Diane Balzier

View on SEC IAPD

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KEATING INVESTMENT COUNSELORS INC · DELRAY BEACH, FL
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DOUBLE DIAMOND INVESTMENT GROUP, LLC · DELRAY BEACH, FL
ZURAW FINANCIAL · DELRAY BEACH, FL
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