Samantha S. 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.
Samantha Sue Baumann, who also goes by Samantha Sue Baufmann, Samantha Sue Sampson, was a registered financial professional .
Samantha is a previously registered financial professional and started their career in finance in 1999. Samantha had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2011 - November 16, 2012
INVESTORS CAPITAL CORP.
February 2, 2007 - May 28, 2009
MERRIMAC CORPORATE SECURITIES, INC.
December 6, 2005 - January 24, 2007
MOORS & CABOT, INC.
August 26, 2004 - December 15, 2005
ADVEST, INC.
January 22, 2004 - August 30, 2004
METROPOLITAN LIFE INSURANCE COMPANY
January 22, 2004 - August 30, 2004
MSI FINANCIAL SERVICES, INC.
June 14, 1999 - November 17, 2003
A. G. EDWARDS & SONS, 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
