Charles W. 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.
Charles William Baum JR, who also goes by Charles William Baum, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1976. Charles had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2002 - January 12, 2004
DANIEL & HENRY FINANCIAL AND INSURANCE SERVICES, LLC
October 1, 2001 - June 10, 2022
SECURIAN FINANCIAL SERVICES, INC.
December 1, 1998 - October 5, 2004
RF ADVISORS LLC
October 5, 1994 - June 10, 2022
SECURIAN FINANCIAL SERVICES, INC.
January 8, 1987 - October 17, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 8, 1987 - October 17, 1994
EQUITABLE ADVISORS, LLC
January 29, 1986 - January 29, 1987
VERAVEST INVESTMENTS, INC.
August 25, 1976 - January 27, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 25, 1976 - January 28, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
August 25, 1976 - January 28, 1986
IDS LIFE INSURANCE COMPANY
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: 8/14/1976
Registered Representative ExaminationCurrent Firm
DANIEL & HENRY FINANCIAL AND INSURANCE SERVICES, LLC
CRD#: 115405 / SEC#: , 8-53502
Contact information
Documents
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 |
Red Flags
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.
