Alec N. Baum
Professional summary
Alec Noel Baum, who also goes by Alec Baum, is a registered financial professional currently at TASTYTRADE, INC. located in Chicago, Illinois.
Alec is registered as a RR (Registered Representative) and started their career in finance in 2020. Alec has worked at 4 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alec Noel Baum's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 14, 2026 - Present
TASTYTRADE, INC.
Office #1: 1330 West Fulton Street Suite 600, Chicago, IL 60607October 5, 2023 - July 10, 2025
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
February 28, 2022 - February 16, 2026
OPTIONALITY SECURITIES
March 23, 2020 - March 19, 2021
THE FAIRMAN GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/17/2026)
(8/14/2026)
Exams
What does exam status mean?
Series 99TO
Passed: 1/2/2023
Operations Professional ExaminationSeries 7TO
Passed: 3/23/2021
General Securities Representative ExaminationFINRA
Current Firm
TASTYTRADE, INC.
CRD#: 277027 / SEC#: , 8-69649
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TASTYLIVE, INC. | OWNER | |
| CHIOU, JASON | HEAD OF CLIENT BROKERAGE SERVICES | 6757512 |
| CORSO, JOSEPH ROBERT | HEAD OF BROKERAGE | 4025105 |
| GRACE, CHRISTOPHER WILLIAM | INTERIM CHIEF OPERATING OFFICER | 5985000 |
| JOHNSON, THOMAS WILLIAM | CHIEF COMPLIANCE OFFICER AND INTERIM AML COMPLIANCE OFFICER | 5421745 |
| SLOAN, JACQUELINE LEE | FINOP | 2717305 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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Company Information
TASTYTRADE, INC.
CRD#: 277027Chicago, IL 60607TRUST BUT VERIFY
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