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 advisor with over 39 years of experience in the industry. David is currently registered with Capacuity LLC, a firm headquartered in Lake Mary, Florida. David has a wide range of experience and is registered with multiple states to provide a variety of financial advisory services.
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.
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.
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.
Fees associated with offset of affiliated broker dealer
1
2
TX
10/21/2022 - Present
Capacuity LLC (Frisco TX)
TX
10/18/2010 - 08/08/2022
NEWPORT GROUP SECURITIES, INC. (Dallas TX)
FL
11/17/2009 - 09/03/2010
METLIFE SECURITIES INC. (FORT LAUDERDALE FL)
FL
12/22/2008 - 02/18/2010
NEW ENGLAND SECURITIES (BOCA RATON FL)
KS
08/13/2004 - 01/07/2009
FAS CORP. (LEAWOOD KS)
CA
01/05/2004 - 08/19/2004
BG WORLDWIDE SECURITIES, INC. (WESTLAKE VILLAGE CA)
NJ
07/05/2002 - 01/09/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
GA
11/06/1998 - 07/22/2002
ONE SECURITIES CORPORATION (ATLANTA GA)
MA
04/28/1995 - 12/07/1998
MUTUAL SERVICE CORPORATION (BOSTON MA)
MA
03/01/1996 - 04/26/1996
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NA
02/18/1992 - 03/01/1996
G. R. PHELPS & CO., INC.
KS
08/03/1994 - 04/20/1995
FRINGE BENEFIT INVESTMENT SERVICES, INC. (LEAWOOD KS)
NY
02/18/1992 - 07/08/1994
NEW ENGLAND SECURITIES (NEW YORK NY)
NA
06/13/1988 - 05/20/1991
MUTUAL BENEFIT FINANCIAL SERVICE COMPANY
NA
10/01/1987 - 05/20/1991
MUTUAL BENEFIT FINANCIAL SERVICE COMPANY
NA
09/22/1988 - 05/30/1989
DIRECTED SERVICES, INC.
NA
01/24/1986 - 11/03/1987
NEW ENGLAND SECURITIES CORPORATION
NA
02/05/1985 - 12/27/1985
SMA EQUITIES, INC.
NA
05/18/1984 - 03/13/1985
PRUCO SECURITIES CORPORATION
NA
10/29/1982 - 01/17/1984
PRUCO SECURITIES CORPORATION
NA
03/22/1982 - 01/17/1984
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
IA
Issued 02/06/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/12/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/1990
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/2002
Series 7 - General Securities Representative Examination
BC
Issued 06/04/1979
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
Not sure David Baum is the right advisor for you? Invested Better is here to help.
