Matthew D. 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.
Matthew Dennis Baumann, who also goes by Matt D Baumann, Matt Baumann, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1997. Matthew had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2020 - March 2, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 6, 2020 - March 2, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 2, 2016 - December 3, 2019
EDWARD JONES
December 2, 2016 - December 3, 2019
EDWARD JONES
December 7, 2015 - December 6, 2016
MORGAN STANLEY
December 7, 2015 - December 6, 2016
MORGAN STANLEY
December 10, 2014 - November 25, 2015
EAGLE STRATEGIES LLC
November 17, 2014 - November 25, 2015
NYLIFE SECURITIES LLC
October 16, 2013 - November 5, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 24, 2013 - November 5, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 14, 1999 - November 2, 2000
A. G. EDWARDS & SONS, INC.
August 20, 1997 - January 14, 1999
MML INVESTORS SERVICES, LLC
January 10, 1997 - March 19, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
