Steven P. Baum
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Paul Baum was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1990. Steven had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2003 - September 19, 2006
FIVE MILE CAPITAL SECURITIES LLC
December 1, 2000 - June 6, 2001
UBS SECURITIES LLC
January 28, 1995 - December 1, 2000
UBS FINANCIAL SERVICES INC.
October 11, 1990 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIVE MILE CAPITAL SECURITIES LLC
CRD#: 115514 / SEC#: , 8-53493
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
