David A. Baum

LIFEMARK SECURITIES

ROCKEVILLE CENTRE, NY

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CRD#: 4132693

Professional summary

David Alan Baum, who also goes by David A Baum, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Rockeville Centre, New York.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David A Baum

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.

1. SALE OF FIXED INSURANCE PRODUCTS/SALE OF INSURANCE PRODUCTS/DUTIES INCLUDE MEETING WITH CLIENTS AND PROVIDING FINANCIAL AND RISK ANALYSIS AND SOLUTIONS/5/2025/283 PRINCETON RD RVC, NY 11570/ 1 HR SPENT IN MAY 2024, NOT ON GOING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alan Baum's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view David Alan Baum'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

January 4, 2023 - Present

LIFEMARK SECURITIES CORP.

RIA

CRD#: 16204

ROCKEVILLE CENTRE, NY

Current

January 4, 2023 - Present

LIFEMARK SECURITIES CORP.

Office #1: One Blue Hill Plaza #1509-75, Pearl River, NY 10965

RIA

CRD#: 16204

Pearl River, NY

Past

June 7, 2021 - January 10, 2023

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Melville, NY

Past

January 25, 2017 - January 10, 2023

PRUCO SECURITIES, LLC.

CRD#: 5685

Melville, NY

Past

June 8, 2011 - January 20, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

EAST HILLS, NY

Past

March 1, 2010 - March 31, 2011

VCS VENTURE SECURITIES

CRD#: 127921

NEW YORK, NY

Past

March 3, 2003 - February 18, 2010

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

August 8, 2002 - March 3, 2003

RUMSON CAPITAL, LLC

CRD#: 33848

MONTEBELLO, NY

Past

April 6, 2001 - August 29, 2001

DEUTSCHE IXE, LLC

CRD#: 7172

NEW YORK, NY

Past

February 1, 2001 - April 6, 2001

GLOBAL CAPITAL SECURITIES CORPORATION

CRD#: 16184

ENGLEWOOD, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

New York
(1/4/2023)

IAR

New York
(1/4/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/21/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/22/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/31/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

400 West Metro Park, Rochester, NY 14623

Mailing Address

400 West Metro Park, Rochester, NY 14623

Phone number

(585) 424-5672

Established

New York since 04/04/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2A (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
KALINOWSKI, ANDREW JOSEPH	VP / BOARD MEMBER/SECRETARY	263409
MICCICHE, VINCENT JR	TREASURER/ FINOP/PFO/POO	702149
PRISCO, JAMES JOSEPH	CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER	2653402
PRISCO, JAMES JOSEPH	PRESIDENT / BOARD MEMBER	2653402
GEORGIEV, ALEXANDRE JR.	CCO OF THE RIA / DIRECTOR OF OPERATIONS	5307830

Regulatory assets under management

Total Number of Accounts	2,021
AUM (Assets Under Management)	$ 461,475,636

Disclosures

Regulatory Event	2
Arbitration	3

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.

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Firm Stability Insights

David A. Baum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alan Baum's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Alan Baum's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIFEMARK SECURITIES CORP.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

MSI FINANCIAL SERVICES, INC.

VCS VENTURE SECURITIES

FIS BROKERAGE & SECURITIES SERVICES LLC

RUMSON CAPITAL, LLC

DEUTSCHE IXE, LLC

GLOBAL CAPITAL SECURITIES CORPORATION

Primary Firm SEC Registration

LIFEMARK SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/21/2011

SIE

Date: 10/1/2018

Series 55

Date: 6/22/2001

Series 7

Date: 1/31/2001

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LIFEMARK SECURITIES CORP.

TRUST BUT VERIFY

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