David Marcus Baum
CLU®Professional Summary
David Marcus Baum, CLU®, who also goes by David M Baum, is a registered financial advisor currently at CAPACUITY LLC located in Frisco, Texas and CAPACUITY SECURITIES, INC. located in Lake Mary, Florida. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. David has worked at 19 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 7,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David M Baum
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Credentials
Years of Experience
47 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
CAPACUITY LLC | CAVALLINO FINANCIAL LLC
Contact Information
Main Address
300 International Parkway Suite 350, Lake Mary, FL 32746Phone Number
(407) 949-6889# of Employees
40SEC notice filing (48 States and Territories)
Registered to provide investment advisory services in 48 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
218AUM (Assets Under Management)
$13,866,813,112Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | Cover Page | Report |
| 11/19/2024 | Cover Page | Report |
| 12/26/2023 | Cover Page | Report |
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
CAPACUITY LLC | CAVALLINO FINANCIAL LLC
State Registrations and Notice Filings
(10/6/2025)
(10/6/2025)
(11/18/2022)
(10/6/2025)
(11/7/2022)
(11/9/2022)
(11/10/2022)
(11/9/2022)
(11/8/2022)
(11/9/2022)
(10/6/2025)
(11/8/2022)
(11/18/2022)
(11/9/2022)
(10/6/2025)
(10/6/2025)
(10/6/2025)
(11/9/2022)
(10/6/2025)
(11/9/2022)
(11/9/2022)
(10/6/2025)
(10/6/2025)
(10/6/2025)
(11/10/2022)
(11/10/2022)
(11/21/2022)
(11/7/2022)
(11/15/2022)
(11/10/2022)
(11/9/2022)
(11/15/2022)
(11/9/2022)
(10/21/2022)
(11/9/2022)
(11/8/2022)
(11/9/2022)
(11/9/2022)
(11/10/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 1 — Registered Representative Examination
Passed Jun 1979Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jun 1990About the Series 26 examSRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view David Marcus Baum's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
