Matthew P. Baum
Professional summary
Matthew Philip Baum, CFA is a registered financial advisor currently at L. ROY PAPP & ASSOCIATES, LLP located in Phoenix, Arizona.
Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Matthew has worked at 2 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Philip Baum's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 25, 2016 - Present
L. ROY PAPP & ASSOCIATES, LLP
Office #1: 2201 E. Camelback Road Suite 227b, Phoenix, AZ 85016June 24, 2015 - May 2, 2016
MORGAN STANLEY & CO. LLC
January 2, 2014 - March 20, 2015
L. ROY PAPP & ASSOCIATES, LLP
Primary Firm SEC Registration
L. ROY PAPP & ASSOCIATES, LLP
CRD#: 105130 / SEC#: 801-35594
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/25/2016)
Exams
Current Firm
L. ROY PAPP & ASSOCIATES, LLP
CRD#: 105130 / SEC#: 801-35594
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,833 |
| AUM (Assets Under Management) | $ 1,534,106,429 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/29/2025 | ||
| 04/09/2025 | ||
| 03/13/2024 | ||
| 04/10/2023 |
Red Flags
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