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RB

Robert B. Baucom

ENCLAVE CAPITAL LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 4305610
RB

Professional summary

Robert Blake Baucom is a registered financial professional currently at ENCLAVE CAPITAL LLC located in New York, New York.

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

top-8-questions

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 Robert Blake Baucom's 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 17, 2024 - Present

ENCLAVE CAPITAL LLC

Office #1: 450 Lexington Ave. 4th Fl, New York, NY 10017
BD
CRD#: 22732
New York, NY
Past

August 1, 2017 - March 6, 2023

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

May 2, 2016 - April 12, 2017

SANDLER, O'NEILL & PARTNERS, L.P.

BD
CRD#: 23328
NEW YORK, NY
Past

April 9, 2007 - February 15, 2016

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

October 18, 2004 - April 3, 2007

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

January 3, 2001 - July 11, 2002

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

December 19, 2000 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY

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
New York
(7/17/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/13/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/29/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EC
ENCLAVE CAPITAL LLC
BELTONE ENCLAVE SECURITIES | KNG (USA) - ENCLAVE | KLITZBERG ENCLAVE | HRA CAPITAL | ENCLAVE SECURITIES | ENCLAVE CAPITAL, L.L.C. | ENCLAVE CAPITAL LLC | CRIPPLE CREEK SECURITIES, L.L.C. | CRIPPLE CREEK SECURITIES CO. | CAJ CO.

CRD#: 22732 / SEC#: , 8-39592

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
301 Yamato Road Suite 2198, Boca Raton, FL 33431
Mailing Address
301 Yamato Road Suite 2198, Boca Raton, FL 33431
Phone number
(646) 454-8600
Established
Delaware since 05/31/1995
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MAZZEO, ROBERT LOUIS IIMANAGING MEMBER/CEO2460221
DUMONT, SUSAN ELIZABETHCCO2346501
VITTOR, GREG TODDFINOP, PRINCIPAL OPERATIONS OFFICER, PRINCIPAL FINANCIAL OFFICER1864219

Disclosures

Regulatory Event3

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

ENCLAVE CAPITAL LLC

CRD#: 22732New York, NY 10017

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