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RB

Robert E. Baumann Jr

Some features on this profile are disabled
CRD#: 2934061
RB

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.

Robert E Baumann Jr, who also goes by Bob Bauman, Robert Edwin Baumann Jr, Robert Edwin Baumann, Robert E. Baumann Jr. Jr, Robert E. Baumann Jr., was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Bauman | Robert Edwin Baumann Jr | Robert Edwin Baumann | Robert E. Baumann Jr. Jr | Robert E. Baumann Jr.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 31, 2015 - March 23, 2016

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
NEW YORK, NY
Past

November 6, 2013 - March 19, 2015

SUMMER STREET RESEARCH PARTNERS

BD
CRD#: 127142
NEW YORK, NY
Past

May 3, 2005 - May 14, 2013

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NEW YORK, NY
Past

March 17, 2003 - April 18, 2005

LEERINK PARTNERS LLC

BD
CRD#: 39011
BOSTON, MA
Past

December 17, 2002 - February 26, 2003

INVESTEC INC.

BD
CRD#: 18553
NEW YORK, NY
Past

June 19, 2000 - November 20, 2002

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

February 8, 2000 - October 27, 2000

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

August 27, 1999 - June 12, 2000

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, NY
Past

October 1, 1997 - August 23, 1999

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

September 29, 1997 - October 1, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/22/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/23/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/15/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/15/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/2004
General Securities Principal Examination

Current Firm

L&
LAIDLAW & COMPANY (UK) LTD.
LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.

CRD#: 119037 / SEC#: , 8-53731

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
16 Berkeley St. Suite 7.09, London, W1J 8DZ
Mailing Address
521 5th Avenue 12th Fl, New York, NY 10175
Phone number
(212) 697-5200
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LAIDLAW HOLDINGS LTDOWNER
BELLO, JAMES ALANCCO2844016
DAPONTE, ARTHUR JARRODFINOP7801577
EITNER, MATTHEW DCHIEF EXECUTIVE OFFICER3267261
REGAN, HUGHDIRECTOR - INVESTMENT BANKING1254114
SILVERMAN, PETER HOWARDSEO/BRANCH MANAGER1239510

Disclosures

Regulatory Event9
Arbitration4

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.

Company Information

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

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