Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ari? Claim Your ProfileAri Moshe Baum is a financial advisor with Prospera Financial Services, Inc. Ari is a registered representative with 20 years of experience in the industry. Ari holds Series 7, 31, and 66 licenses. Ari also has a Series 63 license and the SIE exam. Ari has previously worked at Morgan Stanley, UBS Financial Services Inc., Chase Investment Services Corp., and U.S. Trading Corp.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Percentage of assets under review
1
2
TX
02/14/2021 - Present
Prospera Financial Services, Inc. (DALLAS TX)
NY
11/13/2009 - 10/02/2014
MORGAN STANLEY (NEW YORK NY)
NY
10/01/2004 - 12/02/2009
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
IL
07/12/2004 - 10/11/2004
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NY
03/15/2000 - 09/04/2003
U.S. TRADING CORP. (NEW YORK NY)
BOTH
Issued 10/10/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/12/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 03/14/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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