Deanna C. Baum
Professional summary
Deanna Cristian Baum, who also goes by Deanna Christien Baum, Dena Baum, is a registered financial professional currently at ROYCE FUND SERVICES, LLC located in New York, New York.
Deanna is registered as a RR (Registered Representative) and started their career in finance in 1992. Deanna has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Deanna Cristian Baum's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 8, 1995 - Present
ROYCE FUND SERVICES, LLC
Office #1: One Madison Avenue 17th Floor, New York, NY 10010Office #2: One Madison Avenue 17th Floor, New York, NY 10010September 23, 1992 - May 7, 1993
FORESTERS FINANCIAL SERVICES, 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
(7/8/1995)
Exams
FINRA
Current Firm
ROYCE FUND SERVICES, LLC
CRD#: 14470 / SEC#: , 8-28663
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYCE & ASSOCIATES, LP | MEMBER | |
| CLARK, CHRISTOPHER DEWITT | PRESIDENT, SUPERVISORY PRINCIPAL | 1735713 |
| DENNEEN, JOHN EDWARD | SECRETARY, GENERAL COUNSEL | 4324430 |
| GANNON, FRANCIS DOYLE | VICE PRESIDENT | 2420802 |
| PALASITS, THOMAS R | TREASURER, FINANCIAL & OPERATIONS PRINCIPAL | 1675575 |
| WILSON, DAVID BERTRAND | CHIEF COMPLIANCE OFFICER | 5780721 |
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.
