AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JB

John R. Baumgartner

LAKE STREET CAPITAL MARKETS
MINNEAPOLIS, MN 55402
Some features on this profile are disabled
CRD#: 4011298
JB

Professional summary

John Robert Baumgartner is a registered financial professional currently at LAKE STREET CAPITAL MARKETS, LLC located in Minneapolis, Minnesota.

John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view John Robert Baumgartner's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

July 9, 2019 - Present

LAKE STREET CAPITAL MARKETS, LLC

Office #1: 121 South 8th Street Suite 1000, Minneapolis, MN 55402
BD
CRD#: 164447
MINNEAPOLIS, MN
Past

October 25, 2011 - August 22, 2017

STEPHENS

BD
CRD#: 3496
DALLAS, TX
Past

May 23, 2007 - August 18, 2010

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

March 29, 2000 - May 22, 2007

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Minnesota
(7/9/2019)
RR
Texas
(7/9/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/22/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/28/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/4/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

LS
LAKE STREET CAPITAL MARKETS, LLC
LAKE STREET CAPITAL MARKETS, LLC

CRD#: 164447 / SEC#: , 8-69101

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
121 South 8th Street Suite 1000, Minneapolis, MN 55402
Mailing Address
121 South 8th Street Suite 1000, Minneapolis, MN 55402
Phone number
(612) 326-1305
Established
Minnesota since 05/07/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (31 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#
LAKE STREET HOLDINGS, LLCDIRECT OWNER
ARGENTO, MARK NICHOLASPRESIDENT/DIR2732498
BROWN, ROBERT DUNCANDIR4297681
CULLUM, THOMAS CHARLES JREXECUTIVE CHAIRMAN/DIR1694901
MARTINUZZI, ERICCOO/DIR4142535
MCNAMEE, PAUL ANDREWCCO/FINOP/CFO6788820
TOWNLEY, MICHAEL PRESTONCEO/DIR3112485

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

LAKE STREET CAPITAL MARKETS, LLC

CRD#: 164447Minneapolis, MN 55402

TRUST BUT VERIFY

Monitor John Baumgartner

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Chad Jonathan Rusten
Chad RustenAdvisorCheck Check Mark
ELEMENT SQUARED PRIVATE WEALTH
IAR
Minneapolis, MN
SS
Steven SchmidtAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
ST. LOUIS PARK, MN
Michael Lee Erpenbach
Michael ErpenbachAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Lake Elmo, MN
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.