Jeffrey I. 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.
Jeffrey Ira Baum, who also goes by Jeff Baum, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1989. Jeffrey had worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2019 - July 23, 2020
DALMORE GROUP LLC
September 16, 2011 - November 15, 2016
LPE SECURITIES, LLC
December 3, 2009 - December 23, 2010
KINGSBURY, LLC
February 22, 2005 - October 29, 2007
TRUIST SECURITIES, INC.
March 1, 2004 - February 22, 2005
NBC CAPITAL MARKETS GROUP, INC.
June 29, 1992 - July 27, 1993
GRUNTAL & CO., L.L.C.
April 9, 1990 - June 29, 1992
UBS FINANCIAL SERVICES INC.
June 20, 1989 - January 24, 1990
LEHMAN 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
Series 7TO
Date: 7/4/2022
General Securities Representative ExaminationCurrent Firm
DALMORE GROUP LLC
CRD#: 136352 / SEC#: , 8-67002
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 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.
