Elizabeth Baumann
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.
Elizabeth Baumann, who also goes by Elizabeth Paige Baumann Ms., Elizabeth Paige Baumann, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1997. Elizabeth had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 14, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2021 - July 9, 2021
DIGITAL BROKERAGE SERVICES LLC
August 6, 2015 - May 19, 2016
PYRAMIS DISTRIBUTORS CORPORATION LLC
August 6, 2015 - December 31, 2019
FIDELITY DISTRIBUTORS CORPORATION
August 6, 2015 - July 9, 2021
FIDELITY DISTRIBUTORS COMPANY LLC
August 6, 2015 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
October 13, 2008 - July 9, 2021
NATIONAL FINANCIAL SERVICES LLC
September 8, 2006 - October 9, 2006
FIDELITY BROKERAGE SERVICES LLC
October 19, 1999 - September 12, 2006
NATIONAL FINANCIAL SERVICES LLC
March 26, 1997 - July 7, 1999
CHARLES SCHWAB & 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
DIGITAL BROKERAGE SERVICES LLC
CRD#: 308213 / SEC#: , 8-70512
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| CULLARO, GIUSEPPE | PRESIDENT, CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 4738727 |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| O'BRIEN, EDWARD DANIEL | DIRECTOR | 2239064 |
| RHODES, NOAH BUTLER | PRINCIPAL FINANCIAL OFFICER | 6546392 |
| WEAVER, BRYAN ROBERT | CHIEF LEGAL OFFICER | 2933941 |
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.
