Edward W. 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.
Edward Walter Baumann was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2000. Edward had worked at 3 firms and has passed the Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 27, 2001 - June 26, 2002
PRIME EXECUTIONS, INC.
October 1, 2000 - December 27, 2001
SPYDER SECURITIES INCORPORATED
February 8, 2000 - October 16, 2012
KEYBANC CAPITAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7A
Date: 9/25/2002
Floor Broker Representative ExamSeries 25
Date: 2/8/2000
NYSE Trading Assistant ExaminationCurrent Firm
PRIME EXECUTIONS, INC.
CRD#: 32889 / SEC#: , 8-43985
Contact information
FINRA licenses (36 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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