Diane Baker
Diane Baker is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Delray Beach, FL, with 37 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
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Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
601 E Atlantic Ave, Delray Beach, FL, 33483
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
First Union Brokerage Services, INC.Broker
Smith Barney, Harris Upham & CO., IncorporatedBroker
Dean Witter Reynolds INC.Broker
First Union Brokerage Services, INC.Broker
Olde & CO., IncorporatedBroker
State Registrations41 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.