William L. Baumner
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.
William Louis Baumner IV, who also goes by Dr B, Bill Baumner, William Louis Baumner, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 8 firms and has passed the Series 66, Series 63, 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 25, 2019 - December 7, 2021
TRADESPOT MARKETS INC.
March 23, 2010 - May 25, 2017
BUCKMAN, BUCKMAN & REID, INC.
March 19, 2009 - March 17, 2010
INVEST FINANCIAL CORPORATION
March 13, 2009 - March 17, 2010
INVEST FINANCIAL CORPORATION
February 13, 2009 - March 16, 2009
MUTUAL SERVICE CORPORATION
October 22, 2007 - February 11, 2009
INVESTORS CAPITAL CORP.
October 19, 2007 - February 11, 2009
INVESTORS CAPITAL CORP.
March 5, 2007 - October 24, 2007
OSAIC FS, INC.
September 9, 2002 - October 24, 2007
OSAIC FS, INC.
April 30, 1993 - September 19, 2002
NOBLE CAPITAL MARKETS, INC.
January 4, 1993 - January 13, 1993
CHATFIELD DEAN & CO., 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
Current Firm
TRADESPOT MARKETS INC.
CRD#: 29683 / SEC#: , 8-44483
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BELOYAN, MARK BEDROS | PRESIDENT, CHIEF COMPLIANCE OFFICER,CFO, FINOP, POO, PFO | 1392748 |
| CRONUS EQUITY CAPITAL INVESTMENTS, LLC. | OWNER |
Disclosures
| Regulatory Event | 3 |
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.
