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AB

Adam Baumgarten

VERTICAL RESEARCH SECURITIES
STAMFORD, CT 06901
Some features on this profile are disabled
CRD#: 4966372
AB

Professional summary

Adam Baumgarten, who also goes by Adam Michael Baumgarten, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adam Michael Baumgarten

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 Adam Baumgarten'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

January 27, 2026 - Present

VERTICAL RESEARCH SECURITIES, INC.

Office #1: 6 Landmark Square Suite 720, Stamford, CT 06901
BD
CRD#: 334696
STAMFORD, CT
Past

May 28, 2021 - July 18, 2025

ZELMAN PARTNERS, LLC

BD
CRD#: 145187
NEW YORK, NY
Past

July 17, 2019 - June 22, 2021

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

July 11, 2011 - July 24, 2019

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
NEW YORK, NY
Past

January 14, 2008 - July 1, 2011

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

October 15, 2007 - January 14, 2008

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/5/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 16
Date: 8/28/2023
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 3/31/2008
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 12/10/2007
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 10/12/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VR
VERTICAL RESEARCH SECURITIES, INC.
VERTICAL RESEARCH PARTNERS, LLC | VERTICAL RESEARCH SECURITIES, INC.

CRD#: 334696 / SEC#: , 8-71336

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

Main Address
6 Landmark Square Suite 720, Stamford, CT 06901
Mailing Address
6 Landmark Square Suite 720, Stamford, CT 06901
Phone number
(203) 276-5671
Established
Connecticut since 02/10/2025
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SPRAGUE, JEFFREY TODDPRESIDENT1655155
KIRSCHENBLATT, CHAD ETHANFINOP2503352
SULPIZIO, DAVID VINCENTCHIEF OPERATIONS OFFICER AND CHIEF COMPLIANCE OFFICER2273755

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

VERTICAL RESEARCH SECURITIES, INC.

CRD#: 334696Stamford, CT 06901

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