Adam Baumgarten
Professional Summary
Adam Baumgarten, who also goes by Adam Michael Baumgarten, is a registered financial advisor currently at VERTICAL RESEARCH SECURITIES, INC. located in Stamford, Connecticut. Adam is registered as a RR (Registered Representative) and started their career in finance in 2007. Adam has worked at 6 firms and has passed the Series 63, Series 16, SIE, Series 86, Series 87 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Adam Michael Baumgarten
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Videos & Posts
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Contact Information
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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.
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Years of Experience
19 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
VERTICAL RESEARCH PARTNERS, LLC | VERTICAL RESEARCH SECURITIES, INC.
Contact Information
Main Address
2 Landmark Square Suite 207, Stamford, CT 06901Mailing Address
2 Landmark Square Suite 207, Stamford, CT 06901Phone Number
(203) 276-5671Established
Connecticut since 02/10/2025Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(4/10/2026)
(4/23/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Dec 2007About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Adam Baumgarten's CRS (Customer Relationship Summary).
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