Andrew C. Baum
Professional summary
Andrew Casey Baum, who also goes by Andrew Baum, is a registered financial advisor currently at DIMENSIONAL FUND ADVISORS LP located in Charlotte, North Carolina and DFA SECURITIES LLC located in Charlotte, North Carolina.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Andrew has worked at 3 firms and has passed the Series 63, SIE, Series 52, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Casey Baum's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 20, 2018 - Present
DIMENSIONAL FUND ADVISORS LP
Office #1: 1515 South Tryon Street, Charlotte, NC 28203July 20, 2018 - Present
DFA SECURITIES LLC
Office #1: 1515 South Tryon Street, Charlotte, NC 28203August 27, 2013 - May 7, 2018
MORGAN STANLEY
Primary Firm SEC Registration
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/20/2018)
(7/20/2018)
(7/20/2018)
Exams
Series 55
Date: 2/3/2014
Limited Representative-Equity Trader ExamFINRA
Current Firm
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,611 |
| AUM (Assets Under Management) | $ 835,713,261,770 |
Red Flags
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