Richard R. Baumgartner
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.
Richard R Baumgartner, who also goes by Rick Baumgartner, Richard R Baumgartnerr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 6 firms and has passed the Series 65, Series 63 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
February 1, 2018 - December 13, 2019
AE WEALTH MANAGEMENT, LLC
June 6, 2014 - February 2, 2018
SKYOAK CAPITAL, INC.
November 18, 2011 - June 5, 2014
REDHAWK WEALTH ADVISORS, INC.
July 10, 2008 - July 27, 2012
SENIOR INFO SERVICES, INC.
March 12, 2008 - October 30, 2008
PARKER FINANCIAL LLC
July 20, 1999 - October 26, 2004
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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