Brian R. Baum
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.
Brian Robert Baum was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1980. Brian had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2012 - November 11, 2015
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
November 17, 2004 - June 29, 2011
WOODBURY FINANCIAL SERVICES, INC.
May 15, 1998 - February 4, 2003
WOODBURY FINANCIAL SERVICES, INC.
February 23, 1984 - June 22, 1989
MONARCH SECURITIES, INC.
April 24, 1980 - November 4, 1982
EDWARD JONES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
CRD#: 128904 / SEC#: , 8-66183
Contact information
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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