Dennis L. Baumgartner
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.
Dennis Lee Baumgartner, who also goes by Denny Baumgartner, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1976. Dennis had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2017 - December 31, 2017
VOYA FINANCIAL ADVISORS, INC.
February 13, 2017 - December 31, 2017
VOYA FINANCIAL ADVISORS, INC.
January 3, 2017 - February 22, 2017
LINCOLN INVESTMENT
February 26, 2016 - February 22, 2017
LEGEND ADVISORY, LLC
April 17, 2012 - March 10, 2015
LEGEND ADVISORY, LLC
April 17, 2012 - January 3, 2017
LEGEND EQUITIES CORPORATION
March 30, 2009 - April 27, 2012
ONEAMERICA SECURITIES, INC.
January 15, 2009 - April 27, 2012
ONEAMERICA SECURITIES, INC.
January 30, 2008 - December 2, 2008
FORTUNE FINANCIAL SERVICES, INC.
January 14, 1999 - July 2, 2003
ATLAS CAPITAL MANAGEMENT CORP
December 1, 1998 - April 3, 2007
SII INVESTMENTS, INC.
October 29, 1998 - April 3, 2007
SII INVESTMENTS, INC.
August 1, 1995 - October 28, 1998
VOYA FINANCIAL ADVISORS, INC.
October 19, 1993 - August 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
December 28, 1981 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
April 23, 1976 - October 7, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 23, 1976 - October 7, 1993
OSAIC FA, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 4/13/1976
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
Red Flags
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