Frederick J. Baran
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frederick J Baran, CFP®, who also goes by Rick Baran, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 2016. Frederick had worked at 3 firms and has passed the Series 65 exam.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2025 - July 1, 2026
PROCYON
October 22, 2021 - July 16, 2025
WOOSTER CORTHELL WEALTH MANAGEMENT, INC.
October 17, 2016 - October 27, 2021
MERCER GLOBAL ADVISORS INC.
Primary Firm SEC Registration
PROCYON
CRD#: 288239 / SEC#: 801-110493
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
PROCYON
CRD#: 288239 / SEC#: 801-110493
Contact information
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,638 |
| AUM (Assets Under Management) | $ 7,769,672,465 |
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.
