Charles William Baum Jr
Professional Summary
Charles William Baum JR, who also goes by Charles William Baum, was a registered financial advisor. Charles was a previously registered financial professional and started their career in finance 1976 - 2004. Charles had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Charles William Baum
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
50 years in the financial services industry
Current & Past Employments
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Current Firm
DANIEL & HENRY FINANCIAL & INSURANCE SERVICES | DANIEL & HENRY FINANCIAL AND INSURANCE SERVICES, LLC | DANIEL & HENRY FINANCIAL & INSURANCE SERVICES, LLC
Contact Information
Established
Delaware since 11/27/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE DANIEL & HENRY COMPANY | OWNER | — |
| SECURIAN FINANCIAL SERVICES, INC. | OWNER | 15296 |
| CONNOLLY, GEORGE IGNATIUS | DIRECTOR | 1457599 |
| CREMINS, MICHAEL | DIRECTOR | — |
| KELLER, JOHN GREGORY | PRESIDENT/CCO/DIRECTOR | 1708243 |
| MENTEL, JEFFERY ALAN | TREASURER/DIRECTOR | 1710125 |
| PETERSON, JAMES CRAIG | VP - COMPLIANCE | 2296613 |
| STREAM, SCOTT | DIRECTOR | — |
| WUESTENHAGEN, TIMOTHY EDWIN | ASSISTANT SECRETARY/ASSISTANT TREASURER | 2977213 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Aug 1976Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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