Patricia E. Baumer
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.
Patricia E Baumer, who also goes by Emma Baumer, Patricia Emmelyn Baumer, Patricia Held, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1995. Patricia had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2018 - August 13, 2019
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
October 5, 2009 - August 13, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - August 13, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
September 8, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 22, 2003 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
October 29, 1997 - May 2, 2003
CITIGROUP GLOBAL MARKETS INC.
March 7, 1996 - May 2, 2003
CITIGROUP GLOBAL MARKETS INC.
May 11, 1995 - December 22, 1995
MORGAN STANLEY DW 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
Series 8
Date: 5/9/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
CRD#: 26506 / SEC#: , 8-42582
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| CARR, GREGORY GERARD | DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT | 2210835 |
| FLANSBURG, BRETT ALLEN | VICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | DIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2391989 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| SENNE, ANN MARIE | DIRECTOR | 2515669 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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