Leslie K Baum
Professional Summary
Leslie K Baum, who also goes by Leslie Katherine Greenwell, is a registered financial advisor currently at STATE FARM VP MANAGEMENT CORP. located in Mount Vernon, Illinois. Leslie is registered as a RR (Registered Representative) and started their career in finance in 2004. Leslie has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Leslie Katherine Greenwell
Similar Advisors
EDWARD JONES
OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RAYMOND JAMES FINANCIAL SERVICES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
EDWARD JONES
OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RAYMOND JAMES FINANCIAL SERVICES, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
EDWARD JONES
OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RAYMOND JAMES FINANCIAL SERVICES, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
EDWARD JONES
OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RAYMOND JAMES FINANCIAL SERVICES, INC.
Years of Experience
23 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
EDWARD JONES
OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RAYMOND JAMES FINANCIAL SERVICES, INC.
Current Firm
STATE FARM VP MANAGEMENT CORP.
Contact Information
Main Address
One State Farm Plaza, Bloomington, IL 61710-0001Mailing Address
One State Farm Plaza, Bloomington, IL 61710-0001Phone Number
(833) 430-8518Established
Delaware since 11/27/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
LargeFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| KRISCHEL, AMY LYNN | ASSISTANT VICE PRESIDENT | 4810392 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WIEDUWILT, ANDREW PATRICK | VICE PRESIDENT | 8074278 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
Regulatory Event
7Similar Advisors
EDWARD JONES
OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RAYMOND JAMES FINANCIAL SERVICES, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
EDWARD JONES
OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RAYMOND JAMES FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
(9/15/2008)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2004About the Series 6 examSRO Registrations
Similar Advisors
EDWARD JONES
OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRS (Client Relationship Summary) - BD
Click below to view Leslie K Baum's CRS (Customer Relationship Summary).
Similar Advisors
EDWARD JONES
OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RAYMOND JAMES FINANCIAL SERVICES, INC.