Kevin A. Baum
Professional summary
Kevin Alan Baum, who also goes by Kevin Baum, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Walnut Creek, California.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1995. Kevin has worked at 2 firms and has passed the Series 63, Series 7TO, Series 3, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Alan Baum's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2019 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 1850 Mt. Diablo Blvd Suite 640, Walnut Creek, CA 94596May 4, 1995 - April 2, 2007
OPPENHEIMERFUNDS DISTRIBUTOR, 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
(8/6/2020)
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(10/1/2019)
(8/6/2020)
(2/10/2020)
(2/5/2020)
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(2/5/2020)
(8/6/2020)
(2/11/2020)
(8/6/2020)
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Exams
Series 7TO
Date: 9/30/2019
General Securities Representative ExaminationFINRA
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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Company Information
ALPS DISTRIBUTORS, INC.
CRD#: 16853Walnut Creek, CA 94596TRUST BUT VERIFY
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