Adam M. Wieden
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.
Adam Michael Wieden was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2005. Adam had worked at 5 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2022 - July 27, 2026
LAZARD FRERES & CO. LLC
December 19, 2014 - March 31, 2022
LAZARD MIDDLE MARKET LLC
January 26, 2012 - December 15, 2014
GEORGE K. BAUM CAPITAL ADVISORS, INC.
January 24, 2011 - February 21, 2012
GEORGE K. BAUM ADVISORS LLC
November 22, 2005 - February 21, 2012
GEORGE K. BAUM & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
LAZARD FRERES & CO. LLC
CRD#: 2528 / SEC#: , 8-2595
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 2 |
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.
