Dean B. Baumgartner
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.
Dean Brian Baumgartner, AIF® was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1982. Dean had worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 6 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 1, 2019 - January 3, 2023
ALLWORTH FINANCIAL, L.P.
May 1, 2019 - January 3, 2023
AW SECURITIES
November 1, 2011 - May 8, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 31, 2011 - May 8, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 27, 2010 - October 31, 2011
SECURITIES AMERICA ADVISORS, INC.
April 18, 1996 - October 31, 2011
SECURITIES AMERICA, INC.
January 3, 1992 - April 3, 1996
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
August 1, 1991 - January 2, 1992
IFMG SECURITIES, INC.
March 15, 1988 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
November 21, 1984 - December 1, 1987
FIRST OF MICHIGAN CORPORATION
April 26, 1982 - October 12, 1984
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
ALLWORTH FINANCIAL, L.P.
CRD#: 111167 / SEC#: 801-68255
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ALLWORTH FINANCIAL, L.P.
CRD#: 111167 / SEC#: 801-68255
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 64,930 |
| AUM (Assets Under Management) | $ 25,097,132,975 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/05/2025 |
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.
