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Carl Edward Daum

Cetera Financial Specialists LLC

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About Carl Edward Daum

Carl Edward Daum is a financial professional with over 25 years of experience in the industry. Carl has worked with several firms including Woodbury Financial Services, Inc., Locust Street Securities, Inc., Walnut Street Securities, Inc. and Pruco Securities Corporation. Carl currently holds registrations with the state of Pennsylvania and is registered with Cetera Financial Specialists LLC. Carl holds the Series 6 and Series 63 securities licenses as well as the SIE exam.

Firm Information

Carl Daum is currently registered with Cetera Financial Specialists LLC. Cetera Financial Specialists LLC is a Limited Liability Company formed on October 31, 2012, and is registered in all 50 states plus the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

185

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Carl Daum’s Registration & Firm History

PA

01/07/2005 - Present

Cetera Financial Specialists LLC (BRACKENRIDGE PA)

MN

11/07/2001 - 11/30/2004

WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)

IA

01/11/1999 - 11/20/2001

LOCUST STREET SECURITIES, INC. (DES MOINES IA)

CA

04/28/1998 - 02/01/1999

WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)

NJ

01/01/1997 - 01/30/1998

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

BC

Issued 12/24/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/24/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carl Edward Daum.
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