Robert E Baumann Jr
Professional Summary
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 advisor. Robert was a previously registered financial professional and started their career in finance 1997 - 2016. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bob Bauman, Robert Edwin Baumann Jr, Robert Edwin Baumann, Robert E. Baumann Jr. Jr, Robert E. Baumann Jr.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
29 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.
Contact Information
Main Address
16 Berkeley St. Suite 7.09, London, W1J 8DZMailing Address
521 5th Avenue 12th Fl, New York, NY 10175Phone Number
(212) 697-5200Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
10Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 1999Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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