Roger S. 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.
Roger Stanton Baum was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1971. Roger had worked at 14 firms and has passed the Series 7, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 1996 - September 3, 1996
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 19, 1992 - December 31, 1993
TRANSAMERICA FINANCIAL ADVISORS, INC.
September 21, 1990 - August 28, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 10, 1989 - August 28, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
September 19, 1988 - May 2, 1989
ANGELES SECURITIES CORPORATION
May 26, 1987 - August 3, 1987
INTERFIRST CAPITAL CORPORATION
June 21, 1977 - September 16, 1977
LOEB RHOADES & CO. INC.
May 5, 1977 - July 24, 1977
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
October 27, 1976 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
February 10, 1976 - October 30, 1976
SHEARSON HAYDEN STONE INC.
December 9, 1974 - March 5, 1976
REYNOLDS SECURITIES, INC.
October 1, 1973 - November 5, 1975
DEAN WITTER & CO. INCORPORATED
October 10, 1972 - November 15, 1973
C. L. MCKINNEY & CO., INC.
February 15, 1972 - November 16, 1972
CALIFORNIA INVESTORS INCORPORATED
September 15, 1971 - March 10, 1972
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
January 14, 1971 - October 22, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 1
Date: 10/25/1965
Registered Representative ExaminationSeries 40
Date: 6/1/1976
Registered Principal ExaminationCurrent Firm
TRANSAMERICA FINANCIAL ADVISORS, INC.
CRD#: 3600 / SEC#: , 8-13621
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA INTERNATIONAL HOLDINGS, INC. | OWNER | |
| CHUANG, GEORGE CHUWANG | PRESIDENT, DIRECTOR | 3162477 |
| CHUANG, GEORGE CHUWANG | SENIOR VICE PRESIDENT & TREASURER | 3162477 |
| FLEWELLEN, JAMES MARTIN | DIRECTOR | 1574411 |
| GOK, LISA ANNE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 5059738 |
| KILBANE, KENNETH PATRICK | DIRECTOR | 3187382 |
| PERRY, KAREN BARNETT | VICE PRESIDENT | 3035933 |
| RIDER, KERRY KEARNS | SECRETARY | 2166195 |
| TATE, WILLIAM HARTWELL | DIRECTOR | 1761315 |
| TRIVERS, DAN SHANE | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER | 1948553 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
