William F. Baumann
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.
William Frederick Baumann, who also goes by Bill Baumann, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2012 - January 10, 2013
HANCOCK WHITNEY INVESTMENT SERVICES INC.
June 7, 2012 - January 10, 2013
HANCOCK WHITNEY INVESTMENT SERVICES INC.
May 13, 2002 - June 8, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 13, 1998 - June 8, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 27, 1986 - February 2, 1998
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
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: 9/4/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
Contact information
SEC notice filing (3 States and Territories)
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANCOCK WHITNEY CORPORATION | SHAREHOLDER | |
| BARTLETT, DONNA | BROKER DEALER - CHIEF COMPLIANCE OFFICER | 1813672 |
| LOUPE, PATRICIA KIVES | ASSISTANT SECRETARY | 6796549 |
| MILTON, MILES STUART | PRESIDENT/CEO AND DIRECTOR | 1518016 |
| NICHOALDS, STUART TODD | AML/BSA OFFICER | 6607342 |
| RIGNEY, JOHN MARIO JR | RIA-CCO/VP/SECRETARY & DIRECTOR | 2032572 |
| SCHEXNAYDER, ANITA GREGOIRE | VICE PRESIDENT/CHIEF FINANCIAL OFFICER & DIRECTOR | 6453588 |
Regulatory assets under management
| Total Number of Accounts | 1,031 |
| AUM (Assets Under Management) | $ 210,606,113 |
Disclosures
| Regulatory Event | 2 |
| 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.
