David M. Baum
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, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Marcus Baum's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 21, 2022 - Present
CAPACUITY LLC
November 7, 2022 - Present
CAPACUITY SECURITIES, INC.
Office #1: 300 International Pkwy, #350, Lake Mary, FL 32746January 8, 2018 - August 8, 2022
NEWPORT GROUP CONSULTING, LLC
February 25, 2015 - December 22, 2017
NEWPORT GROUP SECURITIES, INC.
October 18, 2010 - August 8, 2022
NEWPORT GROUP SECURITIES, INC.
November 17, 2009 - September 3, 2010
MSI FINANCIAL SERVICES, INC.
December 22, 2008 - February 18, 2010
NEW ENGLAND SECURITIES
August 13, 2004 - January 7, 2009
FAS CORP.
January 5, 2004 - August 19, 2004
BG WORLDWIDE SECURITIES, INC.
July 5, 2002 - January 9, 2004
UBS FINANCIAL SERVICES INC.
November 6, 1998 - July 22, 2002
EXECUTIVE SERVICES SECURITIES, LLC
March 1, 1996 - April 26, 1996
MML INVESTORS SERVICES, LLC
April 28, 1995 - December 7, 1998
MUTUAL SERVICE CORPORATION
August 3, 1994 - April 20, 1995
FBD INVESTMENT SERVICES, INC.
February 18, 1992 - July 8, 1994
NEW ENGLAND SECURITIES
February 18, 1992 - March 1, 1996
G. R. PHELPS & CO., INC.
September 22, 1988 - May 30, 1989
DIRECTED SERVICES LLC
June 13, 1988 - May 20, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
October 1, 1987 - May 20, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
January 24, 1986 - November 3, 1987
NEW ENGLAND SECURITIES
February 5, 1985 - December 27, 1985
VERAVEST INVESTMENTS, INC.
May 18, 1984 - March 13, 1985
PRUCO SECURITIES, LLC.
October 29, 1982 - January 17, 1984
PRUCO SECURITIES, LLC.
March 22, 1982 - January 17, 1984
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
Primary Firm SEC Registration
CAPACUITY LLC
CRD#: 297679 / SEC#: 801-113636
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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)
Exams
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 6/4/1979
Registered Representative ExaminationFINRA
Current Firm
CAPACUITY LLC
CRD#: 297679 / SEC#: 801-113636
Contact information
SEC notice filing (48 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 86 |
| AUM (Assets Under Management) | $ 10,601,699,879 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 11/19/2024 | ||
| 12/26/2023 | ||
| 09/27/2022 |
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.
