Luke F. Baum
Professional summary
Luke F Baum, CFP®, who also goes by Luke Flagg Baum, Luke F Baum, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Shaker Heights, Ohio and FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky.
Luke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Luke has worked at 15 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 10, Series 9, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Luke F Baum's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
March 17, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Howe Drive, Covington, KY 41015March 25, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 19, 2022 - February 7, 2022
KINGSWOOD WEALTH ADVISORS, LLC
January 19, 2022 - February 7, 2022
KINGSWOOD CAPITAL PARTNERS, LLC
November 14, 2019 - March 17, 2020
CL WEALTH MANAGEMENT LLC
November 8, 2019 - March 17, 2020
CABOT LODGE SECURITIES LLC
June 3, 2010 - June 15, 2011
CBIZ WEALTH MANAGEMENT, LLC
August 23, 2005 - December 7, 2017
CBIZ FINANCIAL SOLUTIONS, INC.
August 19, 2005 - December 7, 2017
CBIZ FINANCIAL SOLUTIONS, INC.
August 4, 2004 - August 19, 2005
ASSETMARK, INC.
July 30, 2004 - August 19, 2005
ASSETMARK CAPITAL CORPORATION
January 23, 2004 - July 21, 2004
WALNUT STREET SECURITIES, INC.
January 1, 2004 - February 10, 2004
CETERA ADVISORS LLC
May 10, 2002 - December 31, 2003
VESTAX SECURITIES CORPORATION
January 3, 1992 - January 1, 2004
VESTAX SECURITIES CORPORATION
April 24, 1990 - January 7, 1992
MUTUAL SERVICE CORPORATION
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/18/2022)
(3/21/2022)
(3/25/2022)
(3/21/2022)
(3/18/2022)
(3/22/2022)
(3/18/2022)
(5/3/2022)
(3/28/2022)
(4/26/2022)
(3/18/2022)
(3/18/2022)
(3/18/2022)
(3/23/2022)
(3/23/2022)
(3/21/2022)
(3/18/2022)
(3/23/2022)
(3/21/2022)
(3/18/2022)
(3/18/2022)
(3/23/2022)
(3/21/2022)
(3/18/2022)
(3/22/2022)
(3/18/2022)
(3/18/2022)
(3/22/2022)
(4/1/2022)
(5/23/2022)
(3/21/2022)
(3/18/2022)
(3/19/2022)
(3/18/2022)
(3/21/2022)
(3/18/2022)
(3/31/2025)
(3/21/2022)
(3/21/2022)
(3/18/2022)
(4/1/2022)
(4/14/2022)
(3/22/2022)
(4/12/2022)
(3/18/2022)
(3/18/2022)
(3/31/2025)
(3/18/2022)
(3/18/2022)
(3/21/2022)
(3/17/2022)
(3/21/2022)
(3/30/2022)
(3/18/2022)
(3/28/2022)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
