Andrew W. Baum
Professional summary
Andrew William Baum was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Andrew had worked at 10 firms, which includes ANTAEUS CAPITAL INC., TARA SECURITIES INC., WESTPARK CAPITAL INC., GLOBAL CAPITAL SECURITIES CORPORATION, NATIONAL SECURITIES CORPORATION, JOSEPH CHARLES & ASSOC. INC., INVESTORS ASSOCIATES INC., MEYERS SECURITIES CORPORATION, JOSEPHTHAL & CO. INC., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2005 - February 1, 2008
ANTAEUS CAPITAL, INC.
June 12, 2003 - April 6, 2004
TARA SECURITIES INC.
August 3, 2001 - June 14, 2002
WESTPARK CAPITAL, INC.
October 29, 1998 - March 15, 2000
GLOBAL CAPITAL SECURITIES CORPORATION
July 27, 1998 - September 25, 1998
NATIONAL SECURITIES CORPORATION
December 6, 1995 - August 19, 1996
JOSEPH CHARLES & ASSOC., INC.
October 12, 1994 - October 18, 1995
INVESTORS ASSOCIATES, INC.
April 23, 1993 - August 1, 1994
MEYERS SECURITIES CORPORATION
January 21, 1992 - March 30, 1993
JOSEPHTHAL & CO., INC.
May 21, 1991 - December 16, 1991
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Exams
Current Firm
ANTAEUS CAPITAL, INC.
CRD#: 627 / SEC#: , 8-10863
Contact information
Disclosures
| Regulatory Event | 2 |
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