William P. Baum
Professional summary
William Peter Baum, who also goes by Will Baum, is a registered financial professional currently at FMSBONDS, INC. located in North Miami Beach, Florida.
William is registered as a RR (Registered Representative) and started their career in finance in 2007. William has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Peter Baum's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 7, 2016 - Present
FMSBONDS, INC.
Office #1: 20660 West Dixie Hway, North Miami Beach, FL 33180February 14, 2011 - July 6, 2015
LOOP CAPITAL MARKETS LLC
October 1, 2009 - January 27, 2011
STERNE, AGEE & LEACH, INC.
March 10, 2008 - September 23, 2009
O'BRIEN & SHEPARD, INC.
July 17, 2007 - August 6, 2007
CHAPDELAINE TULLETT PREBON, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/27/2016)
(6/7/2016)
(10/27/2016)
(10/27/2016)
(10/27/2016)
(10/27/2016)
Exams
FINRA
Current Firm
FMSBONDS, INC.
CRD#: 7793 / SEC#: , 8-23280
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEINSILVER, PAUL | CHAIRMAN OF THE BOARD | 500389 |
| KLOTZ, JAMES ARNOLD | PRESIDENT | 500438 |
| GUERRISE, MATTHEW ANTHONY | CHIEF COMPLIANCE OFFICER | 2673770 |
| PARKER, ANNE MICHELLE | SROP AND CROP | 2226034 |
| SELIGSOHN, MICHAEL STEVEN | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | 2189850 |
| SWINARSKI, THEODORE ANTHONY | SENIOR VICE PRESIDENT - TRADING SUPERVISOR | 1584451 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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Company Information
FMSBONDS, INC.
CRD#: 7793North Miami Beach, FL 33180TRUST BUT VERIFY
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