Michael G. 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.
Michael Gene Baum was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 6 firms and has passed the Series 18 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 1996 - December 31, 2007
CATALINA CAPITAL MANAGEMENT, INC.
January 4, 1990 - March 12, 1990
CROWELL, WEEDON & CO.
September 1, 1988 - January 14, 1989
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
December 11, 1987 - September 1, 1988
BOETTCHER & COMPANY, INC.
July 6, 1987 - August 20, 1987
WILLIAM K. WOODRUFF & COMPANY INCORPORATED
February 3, 1984 - January 17, 1986
CHARLES WILLIAM ZIEGLER III
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 18
Date: 1/21/1984
Securities Industry Rules and Regulations ExaminationCurrent firm
No current employment
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.
