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RB

Randy M. Baum

Some features on this profile are disabled
CRD#: 860958
RB

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.

Randy Mark Baum, who also goes by Randall Mark Baum, was a registered financial professional .

Randy is a previously registered financial professional and started their career in finance in 1979. Randy had worked at 8 firms and has passed the Series 63, Series 65, Series 3, Series 5, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Randall Mark Baum

Other business activities

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 29, 2012 - January 18, 2013

FORGE SECURITIES LLC

BD
CRD#: 134596
SAN FRANCISCO, CA
Past

January 5, 2009 - January 18, 2012

SANCTUARY SECURITIES LLC

BD
CRD#: 144091
SAN FRANCISCO, CA
Past

April 26, 2004 - December 31, 2014

BAUM RANDALL MARK

RIA
CRD#: 130805
SAN FRANCISCO, CA
Past

August 14, 2003 - May 5, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
SAN FRANCISCO, CA
Past

August 14, 2003 - May 5, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

May 25, 2000 - August 20, 2003

BANC OF AMERICA SECURITIES LLC

RIA
CRD#: 26091
SAN FRANCISCO, CA
Past

October 1, 1997 - September 16, 2003

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

November 3, 1992 - October 1, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA
Past

December 7, 1981 - November 4, 1992

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

January 2, 1979 - December 15, 1981

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/19/2008
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/8/1993
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 3
Date: 1/13/2003
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 11/6/1986
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/1978
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/12/2010
General Securities Principal Examination

Current Firm

FS
FORGE SECURITIES LLC
FORGE SECURITIES LLC | SHARESPOST FINANCIAL CORPORATION | PERLINSKI & ASSOCIATES

CRD#: 134596 / SEC#: , 8-66846

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
4 Embarcadero Center Suite 1500, San Francisco, CA 94111
Mailing Address
4 Embarcadero Center Suite 1500, San Francisco, CA 94111
Phone number
(800) 279-7754
Established
Delaware since 06/03/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORGE FINANCIAL HOLDING INCOWNER
FLAVIANI, SANDRA STEPHANIEPFO2831682
GRIMES, WILLIAM CHARLESPRESIDENT & EVP, HEAD OF GLOBAL CAPITAL MARKETS5909538
MCGRATH, SHILPICHIEF COMPLIANCE OFFICER5126346
PRICE, JEVON TPOO2948372

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.

Company Information

FORGE SECURITIES LLC

CRD#: 134596

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