Jonathan E. 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 Edward 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 1987. Jonathan had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 50, Series 7, Series 3 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
January 26, 2012 - November 15, 2019
GEORGE K. BAUM CAPITAL ADVISORS, INC.
January 2, 2009 - August 2, 2010
PRAIRIE CAPITAL MANAGEMENT LLC
May 21, 2007 - January 2, 2008
PRAIRIE CAPITAL MANAGEMENT INC
May 21, 2007 - April 3, 2012
GEORGE K. BAUM ADVISORS LLC
March 1, 2000 - December 21, 2001
PRAIRIE BROKERAGE SERVICES LLC
December 21, 1995 - July 12, 2006
BAUM GEORGE K MERCHANT BANC LLC
April 25, 1994 - December 31, 2019
GEORGE K. BAUM & COMPANY
March 22, 1991 - May 31, 1994
GKB, INC.
November 25, 1987 - January 29, 1991
SALOMON BROTHERS 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
GEORGE K. BAUM CAPITAL ADVISORS, INC.
CRD#: 158813 / SEC#: , 8-68927
Contact information
Documents
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.
