James Baum
Professional summary
James Baum is a registered financial professional currently at CAPTIVEX SECURITIES LLC located in Winter Park, Florida.
James is registered as a RR (Registered Representative) and started their career in finance in 2025. James has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO, Series 57TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Baum's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 27, 2025 - Present
CAPTIVEX SECURITIES LLC
Office #1: 2431 Aloma Avenue Suite 144, Winter Park, FL 32792State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/8/2025)
(7/18/2025)
(7/8/2025)
(8/26/2025)
(7/16/2025)
(7/25/2025)
(7/30/2025)
(8/21/2025)
(8/14/2025)
(7/21/2025)
(8/28/2025)
(8/7/2025)
Exams
Series 79TO
Date: 1/28/2025
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 9/9/2024
General Securities Representative ExaminationSeries 57TO
Date: 7/15/2024
Securities Trader ExamFINRA
Current Firm
CAPTIVEX SECURITIES LLC
CRD#: 332134 / SEC#: , 8-71257
Contact information
FINRA licenses (13 States and Territories)
Red Flags
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