Michael W. Baum
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.
Michael Wiliam Baum, who also goes by Michael William Baum, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 9 firms and has passed the Series 63, SIE 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
March 1, 2023 - January 18, 2024
SECURITIZE MARKETS, LLC
November 9, 2021 - January 2, 2023
COMPASS POINT RESEARCH & TRADING, LLC
May 22, 2018 - March 16, 2020
JEFFERIES LLC
August 15, 2017 - May 21, 2018
EMERSON EQUITY LLC
June 16, 2015 - October 10, 2015
ODEON CAPITAL GROUP LLC
May 3, 2010 - March 21, 2011
HEIGHT CAPITAL MARKETS
July 15, 2009 - May 26, 2010
IRC SECURITIES LLC
March 26, 2009 - July 15, 2009
IRC SECURITIES
March 12, 2001 - April 7, 2009
B. RILEY SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SECURITIZE MARKETS, LLC
CRD#: 283256 / SEC#: , 8-69743
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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