Mark D. Baum
Professional summary
Mark Daniel Baum is a registered financial professional currently at SRT SECURITIES LLC located in Birmingham, Michigan.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Daniel Baum's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 8, 2020 - Present
SRT SECURITIES LLC
Office #1: 416 Hawthorne Street, Birmingham, MI 48009September 8, 2017 - September 10, 2020
HAMILTON EXECUTIONS LLC
September 20, 2002 - September 8, 2017
SRT SECURITIES LLC
September 6, 1990 - June 29, 1993
FINANCIAL SQUARE PARTNERS
December 12, 1989 - February 3, 1990
CHARLES SCHWAB & CO., INC.
March 15, 1989 - April 16, 1990
WILLIAM M. CADDEN & CO., INC.
February 23, 1988 - February 28, 1989
INVESTORS CENTER, 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
NYSE American LLC
Current Firm
SRT SECURITIES LLC
CRD#: 33725 / SEC#: , 8-34415
Contact information
FINRA licenses (25 States and Territories)
Documents
Disclosures
| Regulatory Event | 24 |
Red Flags
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