Daniel Baumgartner

TERRA NOVA ASSET MANAGEMENT LLC

NEW YORK, NY 10017

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CRD#: 2350488

Professional summary

Daniel Baumgartner, who also goes by Daniel Karl Baumgartner, is a registered financial advisor currently at TERRA NOVA ASSET MANAGEMENT LLC located in New York, New York.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Daniel has worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Karl Baumgartner

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Baumgartner's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 11, 2020 - Present

TERRA NOVA ASSET MANAGEMENT LLC

Office #1: 747 Third Avenue, New York, NY 10017

RIA

CRD#: 111676

NEW YORK, NY

Past

June 21, 1993 - June 3, 1998

COMMERZBANK CAPITAL MARKETS CORP.

CRD#: 21787

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TERRA NOVA ASSET MANAGEMENT LLC

CRD#: 111676 / SEC#: 801-55603

RIA

Registered Investment Advisory firm - (5/28/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(8/25/2021)

IAR

Texas
(8/11/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/26/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/18/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/14/1993

General Securities Principal Examination

Current Firm

TERRA NOVA ASSET MANAGEMENT LLC

CRD#: 111676 / SEC#: 801-55603

RIA

Registered Investment Advisory firm - (5/28/1998 Approved)

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Contact information

Main Address

747 Third Avenue, New York, NY 10017

Mailing Address

Phone number

(212) 355-1234

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (11/7/2025)

Regulatory assets under management

Total Number of Accounts	125
AUM (Assets Under Management)	$ 195,497,481

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/17/2024	Cover Page	Report
03/27/2024	Cover Page	Report
05/02/2023	Cover Page	Report

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.

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Daniel Baumgartner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Baumgartner's CRS (Customer Relationship Summary).

Certified licenses

Experience

TERRA NOVA ASSET MANAGEMENT LLC

COMMERZBANK CAPITAL MARKETS CORP.

Primary Firm SEC Registration

TERRA NOVA ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/26/1993

Series 7

Date: 6/18/1993

Series 24

Date: 12/14/1993

Current Firm

TERRA NOVA ASSET MANAGEMENT LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TERRA NOVA ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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