David A. 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.
David Alan Baum, who also goes by David A Baum, David Allan Baum, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 11 firms and has passed the Series 63, Series 3, Series 7, Series 30 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
July 14, 2010 - December 20, 2010
STRIKER SECURITIES, INC.
March 9, 2004 - August 25, 2008
TRADESTATION SECURITIES, INC.
January 2, 2002 - August 14, 2002
OPPENHEIMER & CO. INC.
June 29, 2001 - January 2, 2002
PRIME CHARTER LTD.
October 21, 1999 - July 11, 2001
JOSEPHTHAL & CO., INC.
February 8, 1999 - October 21, 1999
SSI SECURITIES CORP.
February 1, 1993 - October 27, 1999
GKN SECURITIES CORP.
December 20, 1990 - February 3, 1993
TUCKER ANTHONY INCORPORATED
May 1, 1989 - January 8, 1991
CIBC WORLD MARKETS CORP.
September 23, 1987 - May 13, 1989
LEHMAN BROTHERS INC.
January 21, 1986 - January 7, 1988
E. F. HUTTON & COMPANY INC
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
STRIKER SECURITIES, INC.
CRD#: 30028 / SEC#: , 8-44674
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
