James A. Baumann
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.
James Arthur Baumann, who also goes by Jim Baumann, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 4 firms and has passed the Series 7 exam.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 1990 - December 31, 1990
OLD SLIP CAPITAL MANAGEMENT, INC.
April 1, 1987 - June 4, 1988
GLOBAL INVESTOR SECURITIES, INC.
December 12, 1985 - March 27, 1987
PAN-AMERICAN FINANCIAL ADVISERS
October 20, 1982 - March 19, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
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
OLD SLIP CAPITAL MANAGEMENT, INC.
CRD#: 7360 / SEC#: , 8-13023
Contact information
FINRA licenses (7 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Bond | 1 |
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.
