Meredith E. Baumstein
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.
Meredith Emily Baumstein, who also goes by Meredith Emily Greenberg, was a registered financial professional .
Meredith is a previously registered financial professional and started their career in finance in 1994. Meredith had worked at 5 firms and has passed the Series 65, 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
March 7, 2005 - January 18, 2017
WAYPOINT DIRECT INVESTMENTS, LLC
October 22, 2001 - October 17, 2003
REVA CAPITAL MARKETS LLC
October 27, 1999 - September 18, 2000
CHARLES SCHWAB & CO., INC.
February 3, 1995 - October 6, 1999
PRUDENTIAL EQUITY GROUP, LLC
October 12, 1994 - January 5, 1995
A. T. BROD & 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
WAYPOINT DIRECT INVESTMENTS, LLC
CRD#: 132475 / SEC#: , 8-66597
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
