Jonathan R. 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.
Jonathan Russell Baum, who also goes by Jon Baum, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1983. Jonathan had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2015 - June 1, 2017
VIRTUS CAPITAL ADVISERS, LLC
January 15, 2015 - June 1, 2017
FORESIDE ASSOCIATES, LLC
March 17, 2006 - January 25, 2013
BNY MELLON SECURITIES CORPORATION
March 16, 2006 - January 25, 2013
BNY MELLON SECURITIES CORPORATION
November 12, 2002 - January 31, 2005
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
August 13, 2002 - January 31, 2005
DWS DISTRIBUTORS, INC.
May 23, 2002 - August 13, 2002
UBS FINANCIAL SERVICES INC.
December 22, 1998 - January 9, 2001
UBS ASSET MANAGEMENT (US) INC.
February 28, 1984 - August 13, 2002
UBS FINANCIAL SERVICES INC.
August 8, 1983 - February 16, 1984
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
VIRTUS CAPITAL ADVISERS, LLC
CRD#: 107346 / SEC#: 801-23163
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 8
Date: 6/27/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VIRTUS CAPITAL ADVISERS, LLC
CRD#: 107346 / SEC#: 801-23163
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 202 |
| AUM (Assets Under Management) | $ 1,445,434,513 |
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.
