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Matthew Charles Baum

Matthew C. Baum

ALPHA ZERO LLC | Financial Advisor
Meriden, CT
Some features on this profile are disabled
CRD#: 6942874
Matthew Charles Baum

Professional summary

Matthew Charles Baum, CFP® is a registered financial advisor currently at ALPHA ZERO LLC located in Meriden, Connecticut.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Matthew has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

What are your service offerings?
Investment Planning
Retirement Income Management
Estate Planning
What is your minimum asset requirement?
100K
Are you a "fiduciary"?
Yes

Aliases

None

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.
Other Business Activities; Membership Committee; For the Hamden BNI Chapter- I am just in charge of approving new memberships as new people choose to join the chapter. ; 1253 Whitney Ave, , Hamden, CT, 06517; Not Investment-Related; 01/01/2024; 0 during trading hours; 1 to 9 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Charles Baum's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2022

Experience

Current

March 6, 2025 - Present

ALPHA ZERO LLC

RIA
CRD#: 319050
Meriden, CT
Past

October 28, 2022 - November 8, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Cheshire, CT
Past

October 28, 2022 - November 8, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Cheshire, CT
Past

October 1, 2019 - October 31, 2022

EDWARD JONES

RIA
CRD#: 250
NORTH HAVEN, CT
Past

September 7, 2019 - October 31, 2022

EDWARD JONES

BD
CRD#: 250
NORTH HAVEN, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AZ
ALPHA ZERO LLC
2M WEALTH MANAGEMENT LLC | ALPHA ZERO WEALTH | ALPHA ZERO LLC | ALPHA ZERO

CRD#: 319050 / SEC#: 801-124738

RIA
Registered Investment Advisory firm - (4/22/2022 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Connecticut
(3/6/2025)
IAR
Florida
(4/22/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/28/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/7/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/13/2019
Securities Industry Essentials Examination

Current Firm

AZ
ALPHA ZERO LLC
2M WEALTH MANAGEMENT LLC | ALPHA ZERO WEALTH | ALPHA ZERO LLC | ALPHA ZERO

CRD#: 319050 / SEC#: 801-124738

RIA
Registered Investment Advisory firm - (4/22/2022 Approved)
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Contact information

Main Address
2500 North Military Trail Suite 316, Boca Raton, FL 33431
Mailing Address
Phone number
(561) 576-2599
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A- ALPHA ZERO LLC (8/13/2025)

Regulatory assets under management

Total Number of Accounts707
AUM (Assets Under Management)$ 183,214,928

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

ALPHA ZERO LLC

Financial AdvisorCRD#: 319050Meriden, CT

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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