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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

STEPHEN COOK BAIRD

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DENVER, CO | SEATTLE, WA

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Search this name across graphsid dfx:ria:bac08768-31d0-862f-0124-a27334d2b7be

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 6, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 6, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Mar 19, 2004
First registration: Feb 6, 2004
Dual registered: yes, broker-dealer
Other names: STEPHEN BAIRD
IAPD individual key: 4744086

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 15, 2025	n/a	yes	DENVER, CO\|SEATTLE, WA	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jun 4, 2012	May 8, 2025	no	HOUSTON, TX\|DENVER, CO\|HOUSTON, TX\|DENVER, CO\|Highlands Ranch, CO	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 8, 2009	May 15, 2012	no	Houston, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 6, 2004	May 13, 2009	no	HOUSTON, TX\|NY, NY\|WEEHAWKEN, NJ\|ALBUQUERQUE, NM\|ATLANTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 8, 2025	May 15, 2025	7	Firm change	Ibd to wirehouse
J.P. MORGAN SECURITIES LLC	CITIGROUP GLOBAL MARKETS INC.	May 15, 2012	Jun 4, 2012	20	Firm change	Other
UBS FINANCIAL SERVICES INC.	J.P. MORGAN SECURITIES LLC	May 13, 2009	Oct 8, 2009	148	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
May 15, 2025 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jun 4, 2012 to May 8, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 8, 2009 to May 15, 2012factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 6, 2004 to May 13, 2009factForm ADV

Dated events

Occurred
May 8, 2025
Advisor changed firm
Stephen Cook Baird left Citigroup Global Markets Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-05-15)
Form ADVobserved 6 days ago