Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Baum is a financial professional with over 20 years of experience in the industry. David is a registered representative with Lifemark Securities Corp. and has held previous positions with several other firms including PRUCO SECURITIES, LLC., MSI FINANCIAL SERVICES, INC., PRIMARY CAPITAL, LLC, ASSENT LLC, ANDOVER BROKERAGE, L.L.C., and GLOBAL CAPITAL SECURITIES CORPORATION. David holds the Series 7, Series 55, and Series 63 licenses. David is a financial advisor who provides financial planning and portfolio management services for individuals and businesses.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
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2
NY
01/04/2023 - Present
Lifemark Securities Corp. (ROCKEVILLE CENTRE NY)
NY
01/25/2017 - 01/10/2023
PRUCO SECURITIES, LLC. (Melville NY)
NY
06/08/2011 - 01/20/2017
MSI FINANCIAL SERVICES, INC. (EAST HILLS NY)
NY
03/01/2010 - 03/31/2011
PRIMARY CAPITAL, LLC (NEW YORK NY)
IL
03/03/2003 - 02/18/2010
ASSENT LLC (BOLINGBROOK IL)
NY
08/08/2002 - 03/03/2003
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
NY
04/06/2001 - 08/29/2001
NDB CAPITAL MARKETS, LP (NEW YORK NY)
CO
02/01/2001 - 04/06/2001
GLOBAL CAPITAL SECURITIES CORPORATION (ENGLEWOOD CO)
BC
Issued 06/21/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/22/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/31/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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