Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alec? Claim Your ProfileAlec Baum is a financial professional with over 2 years of experience in the financial industry. Alec is a Registered Representative and Investment Advisor Representative currently registered with Lightspeed Financial Services Group LLC, a firm with an active Broker-Dealer registration and a NOTINSCOPE Investment Advisor registration. Alec also holds a Series 63, Series 4, Series 24, Series 99TO, Series 7TO and SIE licenses. Alec has also previously worked at Optionality Securities, a firm with an active Broker-Dealer registration and a NOTINSCOPE Investment Advisor registration.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NJ
10/05/2023 - Present
Lightspeed Financial Services Group LLC (MORRISTOWN NJ)
BC
Issued 06/17/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/18/2021
Series 4 - Registered Options Principal Examination
BC
Issued 04/20/2021
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 03/23/2021
Series 7TO - General Securities Representative Examination
BC
Issued 02/27/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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